111. Membership Proceedings
(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 acquisition broker are subject to FINRA Rule 1012.
| Amended by SR-FINRA-2020-011 eff. Sept. 1, 2021. Amended by SR-FINRA-2019-030 eff. Sept. 14, 2020. Amended by SR-FINRA-2019-009 eff. May 8, 2019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37, 20-15, 21-09. |