FINRA Manual: Contents
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Capital Acquisition Broker Rules
300. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED
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313. Designation of Chief Compliance Officer
This version of the rule (or interpretive material) does not become effective until Apr 14 2017.
Each capital acquisition broker must designate and specifically identify to FINRA on Schedule A of Form BD one or more principals to serve as a chief compliance officer.
Adopted by SR-FINRA-2015-054.
Selected Notice: 16-37.