John Alexander

John Alexander

Dechert LLP

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FINRA “Capital Acquisition Broker” Rules are a Solution for Private Equity and Hedge Funds and Private Investment Banking/M&A

The CAB Rules will enter into force on April 14, 2017. On January 3, 2017, FINRA will begin accepting applications for CAB registration from new applicants and existing FINRA members that wish to be re-designated as CABs, and...more

11/3/2016  /  Acquisitions , Broker-Dealer , Capital Acquisition Broker (CAB) , Financial Industry Regulatory Authority (FINRA) , Hedge Funds , Institutional Investors , Investment Banks , Mergers , Private Equity , Securities and Exchange Commission (SEC)
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