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  • 115. Discretionary Review by FINRA Board

    All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1016.
    Amended by SR-FINRA-2019-009 eff. May 8, 2019.
    Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

    Selected Notice: 16-37.