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Bulk Transfers of Accounts in Broker-Dealer M&A: Regulatory Developments

USA - January 18 2016 The volume of acquisitions involving broker-dealer firms continues to increase as the industry experiences further consolidation and realignment. In...

Michael D. Dorum, Jonathan Dhanawade.


Broker-dealer M&A transactions: toward a more accommodating regulatory process

USA - January 22 2015 M&A transactions involving regulated broker-dealers often require Financial Industry Regulatory Authority (FINRA) approval under NASD Rule 1017. Such...

Lester Chen, Michael D. Dorum.