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Financial Industry Regulatory Authority (FINRA) › M&A Brokers

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

Stinson - Corporate & Securities Law Blog

FINRA Relaxes Rules for M&A and Private Placement Brokers

Stinson - Corporate & Securities Law Blog on

The SEC has approved a series of FINRA rules that are meant to simplify regulation of firms engaged as M&A brokers and those who conduct other limited activities. While the rules may be simpler, it still looks like a...more

Katten Muchin Rosenman LLP

Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules

Katten Muchin Rosenman LLP on

The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority proposal to create a set of rules for FINRA member firms that meet the definition of “capital acquisition broker” (CAB)...more

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