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In the News Press Release

FINRA's Capital Acquisition Broker Rules Face Tough Sell

Publisher: Law360
September 12, 2016

Eliza Fromberg was quoted in an article, "FINRA's Capital Acquisition Broker Rules Face Tough Sell," in Law360. The article examines the newly approved Financial Industry Regulatory Authority rules, which permit broker-dealers who engage in certain limited capital-raising activities to opt to be governed by lighter regulatory requirements. Brokers governed by the new rules are prohibited from soliciting so-called accredited investors, who represent a large constituency of private investors. "Had the rules been tweaked a bit to change the definition of institutional investor to include accredited investors, not only qualified purchasers, then I think this would potentially be attractive to a much larger number of broker-dealers," Fromberg said.

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Related Professionals
Eliza Fromberg
Eliza Sporn Fromberg
New York, NY
T: (212) 297 5847
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This website may use cookies, pixel tags and other passive tracking technologies, including Google Analytics, to improve functionality and performance. For more information, see our Privacy Policy. By using our website, you are consenting to our use of these tracking technologies. You can alter the configuration of your browser to refuse to accept cookies, but if you do so, it is possible that some areas of web sites that use cookies will not function properly when you view them. To learn more about how to delete and manage cookies, refer to the support instructions for each browser (e.g., see AllAboutCookies.org). You may locate Google Analytics' currently available opt-outs for the web here.