All capital acquisition brokers and persons applying for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1010.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
FINRA Rule 0150 shall apply to the Capital Acquisition Broker Rules.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 5150.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 5122.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 4580.
Adopted by SR-FINRA-2017-027 eff. Dec. 6, 2017.Selected Notice: 17-37.
All capital acquisition brokers are subject to FINRA Rule 4570.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 4517.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 4530.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
(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
