Notice
16 Sep 2025
unregistered securities, capital markets, finra, broker-dealers, cab rules, financial regulations
💼FINRA Proposes Amendments to Capital Acquisition Broker Rules
The SEC is reviewing proposed amendments to the FINRA Capital Acquisition Broker Rules, which aim to broaden CAB activities in selling unregistered securities and enhance participation in secondary transactions. The changes could have significant implications on compliance and operational practices for CABs and associated investment firms.
Learn More