(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

All capital acquisition brokers are subject to FINRA Rule 4160.

All capital acquisition brokers are subject to FINRA Rule 4150.

All capital acquisition brokers are subject to FINRA Rule 4140.

(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.

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 approved, in writing, by a member of senior management.

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).

All capital acquisition brokers are subject to FINRA Rule 3270.

All capital acquisition brokers are subject to FINRA Rule 3240.