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.
(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
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1016.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1015.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
(a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1014 and IM-1014-1.
(b) In reviewing an application for membership as a capital acquisition broker, the Department shall consider, in addition to the standards for admission set forth in FINRA Rule 1014, whether the applicant's proposed
(a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1013.
(b) An applicant for membership that seeks to qualify as a capital acquisition broker must state in its application that it intends to operate solely as a capital acquisition broker.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected
(a) Definitions
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1011.
(b) Safe Harbor for Business Expansions
All capital acquisition brokers are subject to FINRA IM-1011-1, IM-1011-2 and IM-1011-3.
(c) General Provisions
All capital acquisition brokers and applicants for membership in FINRA as a capital
All capital acquisition brokers are subject to FINRA Rule 1122.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
All capital acquisition brokers and persons applying for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1010.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
