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

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.

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Katten Muchin Rosenman LLP
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