View Whole SectionText only Print Print Manager Link
Previous Next

118. Application to Commission for Review

This version of the rule (or interpretive material) does not become effective until Apr 14 2017.

All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1019.
Adopted by SR-FINRA-2015-054.

Selected Notice: 16-37.

Previous Next