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Apr 14 2017 - May 7 2019May 8 2019 onwards

115. Discretionary Review by FINRA Board

Past version: effective from Apr 14 2017 - May 7 2019.
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All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1016.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

Selected Notice: 16-37.

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