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Davison-Lawblog

Legal and Strategic Advice For Broker-Dealers, Investment Advisers and Investors

Category: Private Equity

Written by Sharon M. DavisonNovember 1, 2016April 24, 2017

Capital Acquisition Brokers Rules Are Final

On October 17, 2016, the SEC approved the FINRA Capital Acquisition Brokers (“CAB”) rule set. As I reported a few months ago, these rules are intended for a limited group of entities that advise companies and private equity firms on capital raises and corporate transactions and act as placement agents for companies and private funds […]

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