For updates and guidance related to COVID-19 / Coronavirus, click here.
451. Books and Records
(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 to transact business on behalf of the customer.
(c) Records of Written Customer Complaints
All capital acquisition brokers are subject to FINRA Rule 4513.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.