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Broker Dealer Registration Requirements Broker-Dealer CAB FINRA FINRA Compliance Uncategorized

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

Laura Anthony, Esq.

January 26, 2016

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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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All rights reserved. Anthony L.G., PLLC

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