SR-FINRA-2015-054
Proposed Rule Change to Adopt the Capital Acquisition Broker Rules
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to create a separate rule set that would apply to firms that meet the definition of “capital acquisition broker” and elect to be governed under this rule set.
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 8.67 MB | |
| Federal Register Notice | PDF - 255.08 KB | |
| Extension No. 1 | PDF - 62.44 KB | |
| Order Instituting Proceedings to Determine Whether to Approve or Disapprove | PDF - 227.76 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 106.29 KB | |
| Notice of Filing of Amendment No. 1 | PDF - 195.61 KB | |
| Extension No. 2 | PDF - 77.03 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 103.39 KB | |
| Notice of Filing of Amendment No. 2 | PDF - 194.08 KB | |
| Response to Comments | PDF - 179.76 KB | |
| Approval Order | PDF - 247.32 KB |