Broker Dealer Registration and the CAB Rules
Автор: Cordium
Загружено: 2016-11-29
Просмотров: 1021
Описание:
FINRA created a new Broker Dealer registration category that allows for limited supervision and regulation of entities not engaged in active trading or management of client funds. The Capital Acquisition Broker (CAB) Rule Set is scheduled to take effect on April 14, 2017.
This webinar discusses what the CAB rule set is, how it affects Broker Dealers and other types of firms, the regulatory requirements of a CAB and some of the pros and cons of registering as a CAB.
Повторяем попытку...
Доступные форматы для скачивания:
Скачать видео
-
Информация по загрузке: