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(2 versions)
Apr 14 2017 - May 7 2019May 8 2019 onwards

112. New Member Application and Interview

This version is valid from Apr 14 2017 through May 7 2019.
Amendments have been announced but are not yet effective. To view other versions open the versions tab on the right.

(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 eff. April 14, 2017.

Selected Notice: 16-37.

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