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1000. Arbitration and Mediation

This version of the rule (or interpretive material) does not become effective until Apr 14 2017.

All capital acquisition broker members shall be subject to the FINRA Rule 12000 Series, FINRA Rule 13000 Series and FINRA Rule 14000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 12000 Series, FINRA Rule 13000 Series and FINRA Rule 14000 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);
(b) the terms "rules" and "FINRA rules" as used in the FINRA Rule 12000 Series, FINRA Rule 13000 Series and FINRA Rule 14000 Series shall include the Capital Acquisition Broker Rules; and
(c) the term "customer" as used in FINRA Rule 12000 Series, FINRA Rule 13000 Series and FINRA Rule 14000 Series shall include customers of capital acquisition brokers.
Adopted by SR-FINRA-2015-054.

Selected Notice: 16-37.

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