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Rule 15a-6 Broker-Dealer Capital Acquisition Broker (CAB)

Proskauer - The Capital Commitment

Pay-to-Play – SEC Expands Scope of Rule to CABs

The SEC’s pay-to-play rule has given advisers reason to worry about potential foot faults since its adoption. As we have noted in prior posts, the rule is filled with landmines and is therefore difficult to navigate. As was...more

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