Capital Acquisition Brokers | Practical Law

Capital Acquisition Brokers | Practical Law

This Practice Note discusses the FINRA rules applicable to persons who meet the definition of capital acquisition broker by engaging in limited broker-dealer activities, including private placement activities involving institutional investors and M&A advice. It also outlines the process through which capital acquisition brokers may become members of FINRA and the conduct and financial rules applicable to them as members.

Capital Acquisition Brokers

Practical Law Practice Note w-003-3530 (Approx. 11 pages)

Capital Acquisition Brokers

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Practice Note discusses the FINRA rules applicable to persons who meet the definition of capital acquisition broker by engaging in limited broker-dealer activities, including private placement activities involving institutional investors and M&A advice. It also outlines the process through which capital acquisition brokers may become members of FINRA and the conduct and financial rules applicable to them as members.