221. Communications with the Public

(a) No communication with the public by a capital acquisition broker may:
(1) include any false, exaggerated, unwarranted, promissory or misleading statement or claim;
(2) omit any material fact or qualification if the omission, in light of the context of the material presented, would cause the communication to be misleading;
(3) state or imply that FIN

211. Suitability

(a) A capital acquisition broker or an associated person of a capital acquisition broker must have a reasonable basis to believe that a recommended transaction or investment strategy (as defined in FINRA Rule 2111) involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the broker or associated person to ascertain the customer's investment profile.
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