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Apr 14 2017 - May 7 2019May 8 2019 onwards

111. Membership Proceedings

(a) Definitions
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1011.
(b) Safe Harbor for Business Expansions
All capital acquisition brokers are subject to FINRA IM-1011-1.
(c) General Provisions
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1012.
Amended by SR-FINRA-2019-009 eff. May 8, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

Selected Notice: 16-37.

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