Comments on FINRA Rulemaking

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules

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Date Received
Date Letter Type Commenter Name
Public Comment Matthew T. Hoffman, Chief Compliance Officer, Cascadia Capital, LLC
Public Comment Lisa Horrigan, Associate General Counsel, FINRA
Public Comment Jeffrey L. Robins, Debevoise & Plimpton LLP
Public Comment Egwele & Company, Managing Director

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2025-005
Release Number
34-103216
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