March 18, 2019

Corporate & Financial Weekly Digest, Featuring Articles Exploring Rule Changes on the Horizon for FINRA, the NFA and CFTC, as well as the FCA and PRA's Climate Financial Risk Forum

Christian Hennion, Carolyn Jackson, Nathaniel Lalone, Susan Light, Stanley Polit, Neil Robson

+ Follow Contact

Send

Embed

BROKER-DEALER -

FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs -

The Financial Industry Regulatory Authority (FINRA) is filing with the Securities and Exchange Commission a proposed rule change to amend the Capital Acquisition Broker (CAB) Rules governing the qualification, registration and continuing education of associated persons of CABs (CAB Rules 119-125). The proposed rule change reflects new consolidated FINRA qualification and registration rules and changes to its continuing education requirements, which took effect in October 2018.

Please see full publication below for more information.

View PDF

Download PDF [329KB]

Report

LOADING PDF: If there are any problems, click here to download the file.

Send Report

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.