Notice
16 Jun 2025
regulatory changes, securities, finra, investor protection, capital acquisition broker, private placements
📈FINRA Proposes Amendments to CAB Rules for Capital Formation
The Securities and Exchange Commission (SEC) has published a notice regarding proposed changes to the FINRA Capital Acquisition Broker (CAB) Rules. These amendments aim to modernize regulatory frameworks related to capital formation, allowing CABs to act as intermediaries in secondary securities transactions and broadening the definition of institutional investors eligible for investment. The changes are designed to enhance efficiency while maintaining necessary investor protections.
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