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Apr 14 2017 - May 7 2019May 8 2019 onwards

112. New Member Application and Interview

(a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1013.
(b) An applicant for membership that seeks to qualify as a capital acquisition broker must state in its application that it intends to operate solely as a capital acquisition broker.
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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