Home Posts Tagged "FINRA Rules"
FINRA Proposes Amendments To The Corporate Financing Rules
On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules...
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SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”
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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