FINRA Manual: Contents
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Capital Acquisition Broker Rules
400. FINANCIAL AND OPERATIONAL RULES
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451. Books and Records
This version of the rule (or interpretive material) does not become effective until Apr 14 2017.
(a) General Requirements
All capital acquisition brokers are subject to FINRA Rule 4511.
(b) Customer Information
Each capital acquisition broker must maintain each customer's name and residence, whether the customer is of legal age (if applicable), and the names of any persons authorized to transact business on behalf of the customer.
(c) Records of Written Customer Complaints
All capital acquisition brokers are subject to FINRA Rule 4513.
Adopted by SR-FINRA-2015-054.
Selected Notice: 16-37.