Regulatory Notice 20-04
Summary:
FINRA’s CAB rules provide a simplified rulebook for broker-dealers that engage only in limited capital advisory, corporate restructuring and private placement activities. FINRA is requesting comment on proposed amendments to the CAB rules to make them more useful to CABs without reducing investor protection.
Questions regarding this Notice should be directed to:
- Joseph P. Savage, Vice President and Counsel, Office of Regulatory Analysis, at (240) 386-4534.
Questions regarding the Economic Impact Assessment in this Notice should be directed to:
- Meghan Burns, Associate Principal Analyst, Office of Chief Economist, at (202) 728-8062.