Tag Archives: Capital Acquisition rules

CAB Rule Amendments Proposed by FINRA to Address Qualification Requirements

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 (“CAB”) Rules governing qualification, registration and continuing education of associated persons of CABs (CAB Rules 119-125). The proposed amendment is intended to reflect new consolidated … Continue reading CAB Rule Amendments Proposed by FINRA to Address Qualification Requirements