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122. Qualification Examinations

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

(a) Qualification Examinations and Waiver of Requirements
All capital acquisition brokers are subject to NASD Rule 1070.
(b) Confidentiality of Examinations
All capital acquisition brokers are subject to NASD Rule 1080.
Adopted by SR-FINRA-2015-054.

Selected Notice: 16-37.

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