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Material Change Doctrine › Financial Industry Regulatory Authority (FINRA)

Skadden, Arps, Slate, Meagher & Flom LLP

"Broker-Dealer M&A Transactions: Toward a More Accommodating Regulatory Process"

Skadden, Arps, Slate, Meagher & Flom LLP on

M&A transactions involving regulated broker-dealers often require Financial Industry Regulatory Authority (FINRA) approval under NASD Rule 1017. Such approval is required for any direct or indirect acquisition by a...more

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