FINRA Manual: Contents
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Capital Acquisition Broker Rules
300. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED
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311. Capital Acquisition Broker Compliance and Supervision
This version of the rule (or interpretive material) does not become effective until Apr 14 2017.
(a) All capital acquisition brokers are subject to paragraphs (a)(1) through (a)(6), (b)(1), (b)(4), (b)(5), (b)(7), (e) and (f) of FINRA Rule 3110, and Supplementary Materials .01 through .03, .06 through .09, and .11 following FINRA Rule 3110.
(b) A capital acquisition broker must permit the examination and inspection of its premises, systems, platforms, and records by representatives of FINRA and the Commission, and must cooperate with the examination, inspection, or investigation of any persons directly or indirectly using its platform.
Adopted by SR-FINRA-2015-054.
Selected Notice: 16-37.