Notices Regulatory Notice 20-18FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest Friday, June 19, 2020 Regulatory Notice 20-04FINRA Requests Comments on Proposed Amendments to the Capital Acquisition Broker (CAB) RulesThursday, January 30, 2020 Regulatory Notice 18-36FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial InstitutionsFriday, October 19, 2018 Regulatory Notice 17-37SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)Monday, November 06, 2017 Regulatory Notice 17-14FINRA Requests Comment on FINRA Rules Impacting Capital FormationWednesday, April 12, 2017 Regulatory Notice 16-37SEC Approves FINRA’s Capital Acquisition Broker (CAB) RulesMonday, October 17, 2016
