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”... 027000
FINRAFINRA ComplianceReverse SplitRule 10b-17Rule 6490Uncategorized SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions Laura Anthony, Esq.March 10, 2015 01K00