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Investment Adviser › Capital Acquisition Broker (CAB)

Goodwin

FINRA Asks How to Improve Capital Formation Rules; Public Companies and Fund Managers May Have Ideas

Goodwin on

In Regulatory Notice 23-09, FINRA provides an update on actions it currently has under way to promote capital formation and the capital-raising process. FINRA also requests comment regarding whether there are other changes to...more

Kramer Levin Naftalis & Frankel LLP

FINRA Proposes Amendments to the Capital Acquisition Broker Rules

Kramer Levin Naftalis & Frankel LLP on

On Jan. 30, 2020, the Financial Industry Regulatory Authority (FINRA) proposed amendments to the Capital Acquisition Broker (CAB) rules to expand the range of permitted activities for CABs and their associated persons. ...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update – February 2017

Morrison & Foerster LLP on

REGULATION - DOL Issues Additional Guidance on Fiduciary Rule - On January 13, 2017, the U.S. Department of Labor (“DOL”) issued a second set of guidance on its new fiduciary rules, which are scheduled to become...more

Jackson Walker

New FINRA Capital Acquisition Broker Rules May Offer Limited Relief to Private Investment Fund Advisers

Jackson Walker on

The U.S. Securities and Exchange Commission (“SEC”) recently approved a Financial Industry Regulatory Authority (“FINRA”) proposal to adopt a new regime for the regulation of electing broker-dealer firms that meet the...more

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