All capital acquisition brokers and persons applying for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1010.

When used in the Capital Acquisition Broker Rules, unless the context otherwise requires:

(a) "Associated person of a capital acquisition broker" or "person associated with a capital acquisition broker"

The term "associated person of a capital acquisition broker" or "person associated with a capital acquisition broker" means: (1) a natural person who is registered or has applied for registration under

All persons that have been approved for membership in FINRA as a capital acquisition broker and persons associated with capital acquisition brokers shall be subject to the FINRA By-Laws (including the schedules thereto), unless the context requires otherwise, and the Capital Acquisition Broker Rules.

(a) Filing Fees: Cases Filed Directly in Mediation

Each party to a matter submitted directly to a mediation administered under the Code must pay an administrative fee to FINRA in the amounts indicated in the schedule below, unless such fee is specifically waived by the Director.

(a) The following Ground Rules govern the mediation of a matter. The parties to a mediation may agree to amend any or all of the Ground Rules at any time.

FINRA, its employees, and any mediator named to mediate a matter under the Code shall not be liable for any act or omission in connection with a mediation administered under the Code.