Order Rule

Notice of Filing of a Proposed Rule Change to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

View Received Comments

Title
Notice of Partial Amendment No. 1 to Proposed Rule Change to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules
Release Number
34-104097
SEC Issue Date

Resources

Notice Rule: SEC Issued Version (pdf 170.09 KB)

Title
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the FINRA Capital Acquisition Broker (“CAB”) Rules
Release Number
34-103945
SEC Issue Date

Resources

Order Rule: SEC Issued Version (pdf 197.74 KB)

Last Reviewed or Updated: Feb. 13, 2026