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Private Equity Funds › Financial Industry Regulatory Authority (FINRA) › Capital Acquisition Broker (CAB)

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

Eversheds Sutherland (US) LLP

Don’t Hail the CAB – Why FINRA’s Capital Acquisition Broker Rule Set Will Not Get Private Funds to their Destination

Eversheds Sutherland (US) LLP on

For many years, the private fund industry and the securities bar have called for a limited rule set to govern broker-dealers solely engaged in raising capital for private funds or other issuers of unregistered securities or...more

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