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Portfolio Media. Inc. 111 West 19th Street, 5th Floor New York, NY 10011 www.law360.com Phone: +1 646 783 7100 Fax: +1 646 783 7161 customer service law360.comfier's Capital Acquisition Broker Rules

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What is finras capital acquisition broker?

Finra's Capital Acquisition Broker (CAB) is a broker that solely engages in advising companies on capital raising and corporate restructuring, and does not engage in activities such as securities trading or underwriting.

Who is required to file finras capital acquisition broker?

Firms that meet the definition of a Capital Acquisition Broker (CAB) as defined by Finra are required to file with the organization.

How to fill out finras capital acquisition broker?

The filing process for Finra's Capital Acquisition Broker (CAB) involves submitting the necessary forms and documentation as outlined by the organization.

What is the purpose of finras capital acquisition broker?

The purpose of Finra's Capital Acquisition Broker (CAB) is to provide a regulatory framework for brokers that focus on advising companies on capital raising and corporate restructuring.

What information must be reported on finras capital acquisition broker?

The information that must be reported on Finra's Capital Acquisition Broker (CAB) includes details about the firm's business activities, ownership, and any regulatory disclosures.

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