Partner Kay Gordon and counsel Matthew Silver participated in a Q&A with the Private Equity Legal & Compliance Digest to discuss FINRA’s Capital Acquisition Broker rules, which became effective on April 14, 2017.

The Q&A discussed the limits of the CAB designation, how it differs from full registration as a broker-dealer and other available relief, and the rules’ advantages and disadvantages for private equity fund managers.

Read the full Q&A in Private Equity Legal & Compliance Digest. (Subscription required)

Source: Private Equity Legal & Compliance Digest
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