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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

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

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.