FINRA Manual: Contents
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Capital Acquisition Broker Rules
100. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
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121. Registration Requirements
This version of the rule (or interpretive material) does not become effective until Apr 14 2017.
(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.