We Strive to Foster a Culture of Transparency & Integrity

Broker-Dealer Regulatory Issues: FINRA Gives CABs More Room to Work

Did you know FINRA has amended its Capital Acquisition Broker (CAB) rules, giving these specialized firms significantly greater flexibility in private markets? As of March 25, 2026, the amendments reflect FINRA's broader initiative to modernize its regulatory framework while keeping core investor protections firmly in place.

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Commitment to Service and Integrity

Diles Consulting is proud to have sponsored and attended the Florida Securities Dealers and Advisors Association (FSDA) Generational Day of Financial Literacy - Together for Financial Literacy: Protecting Families Across Generations inaugural event in Boca Raton, FL. This milestone event reflects our deep commitment to community service, financial literacy, and the belief that stronger, more informed communities are built one conversation at a time.

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Expert Insights: Colleen Diles on FINRA Compliance in Legent Group Case

In the recent Delaware Court of Chancery decision involving Legent Group and Axos Financial, industry expert Colleen Diles provided key testimony that shaped the court's understanding of regulatory compliance standards.

With over two decades of experience working in FINRA's Member Supervision Department, Diles explained that firms must establish a supervisory system that is reasonably...

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