Series 24: 1.2.6.1. Registration Of Successor

Taken from our Series 24 Online Guide

1.2.6.1. Registration of Successor

When a broker-dealer changes hands, the successor (new) broker-dealer will assume all of the predecessor’s assets and liabilities and continue its business operations. To provide continuity of operation, the SEC allows the predecessor’s (prior) registration to remain effective as long as the successor files an application for

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