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


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.

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Written by:

Katten Muchin Rosenman LLP

Katten Muchin Rosenman LLP on:

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