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Home Archive by Category "CAB"

CAB

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ALL A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
CABFINRASEC

SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”

Laura Anthony, Esq.
November 22, 2016
On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”...
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Broker Dealer Registration RequirementsBroker-DealerCABFINRAFINRA ComplianceUncategorized

FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers”

Laura Anthony, Esq.
January 26, 2016
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All rights reserved. Anthony L.G., PLLC

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