FINRA Manual: Contents
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Capital Acquisition Broker Rules
100. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
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113. Department Decision
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 1014.
(b) In reviewing an application for membership as a capital acquisition broker, the Department shall consider, in addition to the standards for admission set forth in NASD Rule 1014, whether the applicant's proposed activities are consistent with the limitations imposed on capital acquisition brokers under Capital Acquisition Broker Rule 016(c).
Adopted by SR-FINRA-2015-054.
Selected Notice: 16-37.