The Facts on FINRA & Capital Acquisition Brokers

Coffee & Regs

محتوای ارائه شده توسط CSS (Compliance Solutions Strategies). تمام محتوای پادکست شامل قسمت‌ها، گرافیک‌ها و توضیحات پادکست مستقیماً توسط CSS (Compliance Solutions Strategies) یا شریک پلتفرم پادکست آن‌ها آپلود و ارائه می‌شوند. اگر فکر می‌کنید شخصی بدون اجازه شما از اثر دارای حق نسخه‌برداری شما استفاده می‌کند، می‌توانید روندی که در اینجا شرح داده شده است را دنبال کنید.https://fa.player.fm/legal

3y ago 11:52

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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.

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