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Capital Acquisition Broker Rules
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800. Investigations and Sanctions
This version of the rule (or interpretive material) does not become effective until Apr 14 2017.
Except for FINRA Rules 8110, 8211, and 8213, all capital acquisition broker members shall be subject to the FINRA Rule 8000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 8000 Series shall mean "associated person of a capital acquisition broker" or "person associated with a capital acquisition broker" as defined pursuant to Capital Acquisition Broker Rule 016(a); and
(b) the terms "rules" and "FINRA rules" as used in the FINRA Rule 8000 Series shall include the Capital Acquisition Broker Rules.
Adopted by SR-FINRA-2015-054.
Selected Notice: 16-37.