(c) any capital acquisition broker (and its associated persons) may be subject to a fine under FINRA Rule 9216(b) with respect to any rule or By-Laws listed in this Rule.
• Article IV of the FINRA By-Laws — Failure to timely submit amendments to Form BD.
• Article V of the FINRA By-Laws — Failure to timely submit amendments to Form U4.
• Article V of the FINRA By-Laws — Failure to timely submit amendments to Form U5.
• Capital Acquisition Broker [Rule 125] — Failure to comply with the continuing education requirements.
• Capital Acquisition Broker [Rule 221] — Communications with the public.
• Capital Acquisition Broker [Rule 311] — Failure to maintain adequate written supervisory procedures where the underlying conduct is subject to Capital Acquisition Broker Rule 900(c).
• Capital Acquisition Broker [Rule 451] — Failure to keep and preserve books, accounts, records, memoranda, and correspondence in conformance with all applicable laws, rules, regulations and statements of policy promulgated thereunder, and with FINRA rules.
• Capital Acquisition Broker [Rule 452] — Failure to comply with the requirements for general ledger accounts.
• Capital Acquisition Broker [Rule 453] — Failure to timely file reports.
• Capital Acquisition Broker [Rule 454] — Failure to report, review and update executive representative designation and contact information.
• Capital Acquisition Broker [Rule 512] — Failure to timely file private placement documents.
• SEA Rules 17a-3(a) and 17a-4 — Record retention rule violations.
• SEA Rule 17a-5 — Failure to timely file FOCUS reports and annual audit reports.
• SEA Rule 17a-10 — Failure to timely file Schedule I.
