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121. Registration Requirements

(a) Status of Persons Serving in the Armed Forces of the United States
All capital acquisition brokers are subject to NASD IM-1000-2.
(b) Failure to Register Personnel
All capital acquisition broker-dealers are subject to NASD IM-1000-3.
(c) Registration Requirements — Principals
All capital acquisition brokers are subject to NASD Rule 1021.
(d) Registration Requirements — Representatives
All capital acquisition brokers are subject to NASD Rule 1031.
Adopted by SR-FINRA-2015-054.

Selected Notice: 16-37.

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