Expand All 311. Capital Acquisition Broker Compliance and Supervision 313. Designation of Chief Compliance Officer 322. Influencing or Rewarding Employees of Others 324. Borrowing From or Lending to Customers 327. Outside Business Activities of Registered Persons 328. Private Securities Transactions of an Associated Person 331. Anti-Money Laundering Compliance Program Book traversal links for 300. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS ‹ 240. Engaging in Impermissible Activities Up 311. Capital Acquisition Broker Compliance and Supervision ›