1000. Arbitration and Mediation
All capital acquisition broker members shall be subject to the FINRA Rule 12000 Series, FINRA Rule 13000 Series and FINRA Rule 14000 Series, unless the context requires otherwise, provided, however, that:
900. Code of Procedure
Except for the FINRA Rule 9700 Series, all capital acquisition broker members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 9000 Series shall mean "associated person of a capital acquisi