Displaying 31901 - 31910 of 33929 Results
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
All capital acquisition brokers are subject to FINRA Rule 2010. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
200. DUTIES AND CONFLICTS
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
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
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.
121. Registration Requirements
All capital acquisition brokers are subject to FINRA Rule 1210. Amended by SR-FINRA-2019-006 eff. March 12, 2019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
119. Foreign Members
All capital acquisition brokers are subject to NASD Rule 1090. Amended by SR-FINRA-2019-006 eff. March 12, 2019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
118. Application to Commission for Review
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
116. Application for Approval of Change in Ownership, Control, or Business Operations
(a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1017. (b) An existing FINRA member that seeks to change its status to a capital acquisition broker and is already approved to engage in the activities of a capital acquisition broker, but which does not intend to change its existing ownership, control or