Coffee & Regs
The Facts on FINRA & Capital Acquisition Brokers
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Coffee & Regs
The Facts on FINRA & Capital Acquisition Brokers
May 10, 2021 Season 2 Episode 18
CSS (Compliance Solutions Strategies)

In this episode, CSS’s Director of Broker-Dealer Services and a former regulator, John Gentile and Executive Director, Jackie Hallihan sit down to discuss FINRA’s rule book regarding capital acquisition brokers. These are broker-dealers that limit their business to certain capital raising, mergers and acquisitions and corporate financing activities, so before you go down that regulatory path, it’s important to understand the rules and the benefits of CAB registration.