FINRA Manual: Contents
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Capital Acquisition Broker Rules
010. GENERAL STANDARDS
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014. Application of the By-Laws and the Capital Acquisition Broker Rules
This version of the rule (or interpretive material) does not become effective until Apr 14 2017.
All persons that have been approved for membership in FINRA as a capital acquisition broker and persons associated with capital acquisition brokers shall be subject to the FINRA By-Laws (including the schedules thereto), unless the context requires otherwise, and the Capital Acquisition Broker Rules. Persons associated with a capital acquisition broker shall have the same duties and obligations as a capital acquisition broker under the Capital Acquisition Broker Rules.
The terms used in the Capital Acquisition Broker Rules, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws, unless a term is defined differently in a Capital Acquisition Broker Rule, or unless the context of the term within a Capital Acquisition Broker Rule requires a different meaning.
Adopted by SR-FINRA-2015-054.
Selected Notice: 16-37.