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Regulatory Release

Notice of Partial Amendment No. 1 to Proposed Rule Change to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules

Details

Rule Type

Notice

Release Number

34-104097

SEC Issue Date

Sept. 26, 2025 | 3:14 pm ET

Resources

34-104097

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Sept. 26, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Partial Amendment No. 1 to Proposed Rule Change to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules

Details

Resources

More in this Section

Notice of Partial Amendment No. 1 to Proposed Rule Change to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules

Details

Resources