208. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System Read more about 208. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System All capital acquisition brokers are subject to FINRA Rules 2080 and 2081. Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
207. Transactions Involving FINRA Employees Read more about 207. Transactions Involving FINRA Employees All capital acquisition brokers are subject to FINRA Rule 2070. Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
204. Payments to Unregistered Persons Read more about 204. Payments to Unregistered Persons All capital acquisition brokers are subject to FINRA Rule 2040. Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
203. Engaging in Distribution and Solicitation Activities with Government Entities Read more about 203. Engaging in Distribution and Solicitation Activities with Government Entities All capital acquisition brokers are subject to FINRA Rule 2030. Adopted by SR-FINRA-2017-027 eff. Dec. 6, 2017.Selected Notice: 17-37.
202. Use of Manipulative, Deceptive or Other Fraudulent Devices Read more about 202. Use of Manipulative, Deceptive or Other Fraudulent Devices All capital acquisition brokers are subject to FINRA Rule 2020. Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
201. Standards of Commercial Honor and Principles of Trade Read more about 201. Standards of Commercial Honor and Principles of Trade All capital acquisition brokers are subject to FINRA Rule 2010. Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
124. Continuing Education Requirements Read more about 124. Continuing Education Requirements All capital acquisition brokers are subject to FINRA Rule 1240. Amended by SR-FINRA-2019-006 eff. March 12, 2019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
123. Associated Persons Exempt from Registration Read more about 123. Associated Persons Exempt from Registration All capital acquisition brokers are subject to FINRA Rule 1230. Amended by SR-FINRA-2019-006 eff. March 12, 2019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
122. Registration Categories Read more about 122. Registration Categories All capital acquisition brokers are subject to FINRA Rule 1220. Amended by SR-FINRA-2019-006 eff. March 12, 2019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.