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300. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED


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Contents:
311. Capital Acquisition Broker Compliance and Supervision
313. Designation of Chief Compliance Officer
322. Influencing or Rewarding Employees of Others
324. Borrowing From or Lending to Customers
327. Outside Business Activities of Registered Persons
328. Private Securities Transactions of an Associated Person
331. Anti-Money Laundering Compliance Program