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Capital Acquisition Broker Rules


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This version of the rule (or interpretive material) does not become effective until Apr 14 2017.


Contents:
010. GENERAL STANDARDS
100. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
200. DUTIES AND CONFLICTS
300. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED
400. FINANCIAL AND OPERATIONAL RULES
500. SECURITIES OFFERINGS
800. Investigations and Sanctions
900. Code of Procedure
1000. Arbitration and Mediation