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Capital Acquisition Broker Rules
400. FINANCIAL AND OPERATIONAL RULES

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412. Restricted Firm Obligations

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All capital acquisition brokers are subject to FINRA Rule 4111.

Adopted by by SR-FINRA-2020-041 eff. Jan. 1, 2022.

Selected Notice: 21-34.

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Disclaimer: The summary and detailed topics are only available for 40 FINRA Rules and have been applied as part of the FINRA Rulebook Search Tool™ (FIRST™) prototype. FIRST is for informational purposes only and does not provide regulatory or compliance advice. You should always review the relevant rule text and the related guidance to understand your regulatory obligations. Usage or reliance on this tool is not a defense to a failure to comply with the FINRA rules. Learn More

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