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122. Qualification Examinations

(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 eff. April 14, 2017.

Selected Notice: 16-37.

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