All capital acquisition brokers are subject to FINRA Rule 4530.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
(a) Assignment of Responsibility for General Ledger Accounts
Each capital acquisition broker must designate an associated person who is responsible for each general ledger bookkeeping account and account of like function used by the broker and such associated person must control and oversee entries into each such account and must determine that the account is current and accurate as
(a) General Requirements
All capital acquisition brokers are subject to FINRA Rule 4511.
(b) Customer Information
Each capital acquisition broker must maintain each customer's name and residence, whether the customer is of legal age (if applicable), and the names of any persons authorized to transact business on behalf of the customer.
(c) Records of Written Customer
All capital acquisition brokers are subject to FINRA Rule 4160.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 4150.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 4140.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
(a)(1) Unless otherwise permitted by FINRA, a capital acquisition broker must suspend all business operations during any period in which it is not in compliance with applicable net capital requirements set forth in SEA Rule 15c3-1.
(2) FINRA may issue a notice pursuant to FINRA Rule 9557 directing a capital acquisition broker that is not in compliance with applicable net capital
Each capital acquisition broker shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor its compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury. Each capital acquisition broker's anti-money laundering program must be
No person associated with a capital acquisition broker shall participate in any manner in a private securities transaction as defined in FINRA Rule 3280(e).
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
