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  • 100. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION

    • 101. Electronic Filing Requirements for Uniform Forms

      All capital acquisition brokers and persons applying for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1010.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 102. Filing of Misleading Information as to Membership or Registration

      All capital acquisition brokers are subject to FINRA Rule 1122.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 111. Membership Proceedings

      (a) Definitions
      All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1011.
      (b) Safe Harbor for Business Expansions
      All capital acquisition brokers are subject to FINRA IM-1011-1.
      (c) General Provisions
      All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1012.
      Amended by SR-FINRA-2019-009 eff. May 8, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 112. New Member Application and Interview

      (a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1013.
      (b) An applicant for membership that seeks to qualify as a capital acquisition broker must state in its application that it intends to operate solely as a capital acquisition broker.
      Amended by SR-FINRA-2019-009 eff. May 8, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 113. Department Decision

      (a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1014.
      (b) In reviewing an application for membership as a capital acquisition broker, the Department shall consider, in addition to the standards for admission set forth in FINRA Rule 1014, whether the applicant's proposed activities are consistent with the limitations imposed on capital acquisition brokers under Capital Acquisition Broker Rule 016(c).
      Amended by SR-FINRA-2019-009 eff. May 8, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 114. Review by National Adjudicatory Council

      All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1015.
      Amended by SR-FINRA-2019-009 eff. May 8, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 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.

    • 116. Application for Approval of Change in Ownership, Control, or Business Operations

      (a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1017.
      (b) An existing FINRA member that seeks to change its status to a capital acquisition broker and is already approved to engage in the activities of a capital acquisition broker, but which does not intend to change its existing ownership, control or business operations, must file a request to amend its membership agreement or obtain a membership agreement to provide that: (1) the member's activities will be limited to those permitted for capital acquisition brokers under Capital Acquisition Broker Rule 016(c); and (2) the member agrees to comply with the Capital Acquisition Broker Rules.
      (c) Subject to paragraph (d) of this Rule, a capital acquisition broker that seeks to terminate its status as such and continue as a FINRA member must file an application for approval of a material change in business operations pursuant to FINRA Rule 1017, and must amend its membership agreement to provide that the member agrees to comply with all FINRA rules.
      (d) If during the first year following an existing FINRA member's amendment to its membership agreement pursuant to paragraph (b) of this Rule, a capital acquisition broker seeks to terminate its status as such and continue as a FINRA member, the capital acquisition broker may notify FINRA of this change without having to file an application for approval of a material change in business operations pursuant to FINRA Rule 1017. The capital acquisition broker must file a request to amend its membership agreement to provide that the member agrees to comply with all FINRA rules, and execute an amended membership agreement that imposes the same limitations on the member's activities that existed prior to the member's change of status to a capital acquisition broker.
      Amended by SR-FINRA-2019-009 eff. May 8, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 118. Application to Commission for Review

      All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1019.
      Amended by SR-FINRA-2019-009 eff. May 8, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 119. Foreign Members

      All capital acquisition brokers are subject to FINRA Rule 1021.
      Amended by SR-FINRA-2019-009 eff. May 8, 2019.
      Amended by SR-FINRA-2019-006 eff. March 12, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 121. Registration Requirements

      All capital acquisition brokers are subject to FINRA Rule 1210.
      Amended by SR-FINRA-2019-006 eff. March 12, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 122. Registration Categories

      All capital acquisition brokers are subject to FINRA Rule 1220.
      Amended by SR-FINRA-2019-006 eff. March 12, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 123. Associated Persons Exempt from Registration

      All capital acquisition brokers are subject to FINRA Rule 1230.
      Amended by SR-FINRA-2019-006 eff. March 12, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.

    • 124. Continuing Education Requirements

      All capital acquisition brokers are subject to FINRA Rule 1240.
      Amended by SR-FINRA-2019-006 eff. March 12, 2019.
      Adopted by SR-FINRA-2015-054 eff. April 14, 2017.

      Selected Notice: 16-37.