US EditionWaterview Securities, Inc. Comment On Regulatory Notice 25-06
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Waterview Securities, Inc. Comment On Regulatory Notice 25-06
Waterview Securities, Inc. Comment On Regulatory Notice 25-06 fnrw-backend Thu, 06/05/2025 - 16:13 Larry Starks TX US larry.starks@waterview-ib.com Waterview Securities, Inc. A.1 Should CABs be permitted to engage in a broader range of M&A and private placement activities than currently specified in the CAB rules? Answer: Probably not.A.2 CABs may not act as an agent for secondary transactions involving unregistered securities, other than in con…
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