View Whole SectionText only Print Print Manager Link
Previous Next

311. Capital Acquisition Broker Compliance and Supervision

(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.

Previous Next