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Apr 14 2017 - May 7 2019May 8 2019 onwards

115. Discretionary Review by FINRA Board

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.

All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1016.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

Selected Notice: 16-37.

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