FINRA Manual: Contents
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Capital Acquisition Broker Rules
100. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
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112. New Member Application and Interview
This version of the rule (or interpretive material) does not become effective until Apr 14 2017.
(a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD 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.
Adopted by SR-FINRA-2015-054.
Selected Notice: 16-37.