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SEC Pay-to-Play Rule Set to Expand to Capital Acquisition Brokers

Alert September 13, 2017

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  • SEC Pay to Play Rule Set to Expand to Capital Acquisition Brokers

SEC Pay-to-Play Rule Set to Expand to Capital Acquisition Brokers

September 13, 2017, Covington Alert

The universe of those covered by the SEC’s pay-to-play restrictions is expanding. If a newly proposed SEC rule is adopted as expected, pay-to-play restrictions will now extend to cover the recently created class of broker-dealers called Capital Acquisition Brokers (“CABs”).

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