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123. Categories of Registration

(a) Categories of Principal Registration
All capital acquisition brokers are subject to NASD Rule 1022.
(b) Categories of Representative Registration
All capital acquisition brokers are subject to NASD Rule 1032.
(c) Operations Professional
All capital acquisition brokers are subject to paragraph (b)(6) of FINRA Rule 1230.
Adopted by SR-FINRA-2015-054.

Selected Notice: 16-37.

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