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415. Guarantees by, or Flow Through Benefits for, Members
All capital acquisition brokers are subject to FINRA Rule 4150. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
414. Audit
All capital acquisition brokers are subject to FINRA Rule 4140. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
327. Outside Business Activities of Registered Persons
All capital acquisition brokers are subject to FINRA Rule 3270. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
324. Borrowing From or Lending to Customers
All capital acquisition brokers are subject to FINRA Rule 3240. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
322. Influencing or Rewarding Employees of Others
All capital acquisition brokers are subject to FINRA Rule 3220. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
207. Transactions Involving FINRA Employees
All capital acquisition brokers are subject to FINRA Rule 2070. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
204. Payments to Unregistered Persons
All capital acquisition brokers are subject to FINRA Rule 2040. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
202. Use of Manipulative, Deceptive or Other Fraudulent Devices
All capital acquisition brokers are subject to FINRA Rule 2020. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
201. Standards of Commercial Honor and Principles of Trade
All capital acquisition brokers are subject to FINRA Rule 2010. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
102. Filing of Misleading Information as to Membership or Registration
All capital acquisition brokers are subject to FINRA Rule 1122. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.