Greenridge L&CBring us the letter →
✛ Deals that need a regulator

Transactions where the deal closes only if the regulator agrees

Regulatory due diligence, change-of-control filings, continuing membership applications, and offering support for deals in regulated industries, with the purchase agreement left to your counsel.

Bring us the letter →What we do

Greenridge L&C Advisors handles the regulatory side of transactions in regulated terrain: due diligence on a target, FINRA and SEC change-of-control filings, continuing membership applications (CMA), and offering compliance. The deal only closes if the regulator agrees, and that is the part we own.

What we handle in a deal

The regulatory approvals that gate the close.

  • Regulatory and compliance due diligence on a target
  • FINRA and SEC change-of-control filing support
  • Continuing Membership Applications (CMA)
  • Offering compliance support and closing conditions
  • Post-close compliance integration

Where the line is

We manage the regulatory approvals and filings. Negotiating and drafting the purchase agreement remains with your outside counsel; we make sure the regulator does not become the reason the deal dies.

Common questions

What is a continuing membership application?
A CMA is FINRA's process for approving certain material changes at a member firm, including changes of ownership or control. Many deals involving a broker-dealer require one, and timing it wrong can stall a close.
Do you draft the purchase agreement?
No. The purchase agreement and the legal terms stay with your outside counsel. We own the regulatory diligence, filings, and approvals around the deal.

Keep reading

Broker-dealer registration →Exam and enforcement →Services overview →

Bring us the letter.

Exam notice, deficiency letter, comment letter, or an application that has stalled. Tell us where you are and we will tell you what happens next. A first conversation is free and without obligation.

Bring us the letter →