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900. Code of Procedure

Except for the FINRA Rule 9700 Series, all capital acquisition broker members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:

(a) the term "associated person" as used in the FINRA Rule 9000 Series shall mean "associated person of a capital acquisition broke

800. Investigations and Sanctions

Except for FINRA Rules 8110, 8211, and 8213, all capital acquisition broker members shall be subject to the FINRA Rule 8000 Series, unless the context requires otherwise, provided, however, that:

(a) the term "associated person" as used in the FINRA

515. Fairness Opinions

All capital acquisition brokers are subject to FINRA Rule 5150.

Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

Selected Notice: 16-37.

512. Private Placements of Securities Issued by Members

All capital acquisition brokers are subject to FINRA Rule 5122.

Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

Selected Notice: 16-37.

458. Books and Records Requirements for Government Distribution and Solicitation Activities

All capital acquisition brokers are subject to FINRA Rule 4580.

Adopted by SR-FINRA-2017-027 eff. Dec. 6, 2017.

Selected Notice: 17-37.

457. Custodian of Books and Records

All capital acquisition brokers are subject to FINRA Rule 4570.

Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

Selected Notice: 16-37.

454. Member Filing and Contact Information Requirements

All capital acquisition brokers are subject to FINRA Rule 4517.

Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

Selected Notice: 16-37.

453. Reporting Requirements

All capital acquisition brokers are subject to FINRA Rule 4530.

Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

Selected Notice: 16-37.

452. Assignment of Responsibility for General Ledger Accounts and Supplemental FOCUS Information

(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 necessary to comply with all applicable FINRA rules and federal securities laws gov

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