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111. Membership Proceedings

(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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