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111. Membership Proceedings

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

(a) Definitions
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1011.
(b) Safe Harbor for Business Expansions
All capital acquisition brokers are subject to NASD IM-1011-1.
(c) General Provisions
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1012.
Adopted by SR-FINRA-2015-054.

Selected Notice: 16-37.

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