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Regulatory Release

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs

Details

Rule Type

Notice

Release Number

34-85413

SEC Issue Date

March 26, 2019 | 2:49 pm ET

Federal Register Publish Date

April 1, 2019 | 11:33 pm ET

Document Citation

84 FR 12311

Resources

34-85413

Federal Register Version

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs

Details

Resources

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs

Details

Resources