We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 2 of 2
Most popular |Most recent

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.