The Financial Industry and Regulatory Authority (“FINRA”) has filed a proposed rule change with the Securities and Exchange Commission (“SEC”) and is soliciting comments to amend the Capital Acquisition Broker … Continue reading CAB Rule Amendments Proposed by FINRA to Address Qualification Requirements
The US Securities and Exchange Commission (“SEC”) issued an update to the guidance previously issued in the Staff Response to Questions about the “pay to play” rule (Investment Advisers Act … Continue reading Pay to Play Guidance Issued Related to CAB Broker/Dealers
The Financial Industry Regulatory Authority (“FINRA”) has proposed the creation of a separate rule set that would apply to firms that meet the definition of a ‘‘capital acquisition broker’’ (“CAB”) and … Continue reading Comment Period Ends May 6, 2016 on the Proposed Capital Acquisition Broker Rules