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