8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

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FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): November 4, 2016

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BROADRIDGE FINANCIAL SOLUTIONS, INC.

(Exact name of registrant as specified in its charter)

DELAWARE

(State or other jurisdiction of incorporation)

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001-33220	33-1151291
(Commission file number)	(I.R.S. Employer Identification No.)

5 Dakota DriveLake Success, New York 11042

(Address of principal executive offices)

Registrant’s telephone number, including area code: (516) 472-5400

N/A

(Former name or former address, if changed since last report)

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Item 8.01. Other Events.

On November 4, 2016, Broadridge Financial Solutions, Inc. (the “Company”) issued a press release announcing that the Company has acquired M&O Systems, Inc. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

Item 9.01.Financial Statements and Exhibits.

Exhibits. The following exhibit is filed herewith:

Exhibit No.	Description
99.1	Press Release of Broadridge Financial Solutions, Inc. dated November 4, 2016

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Dated: November 4, 2016

BROADRIDGE FINANCIAL SOLUTIONS, INC.

By: /s/ James M. Young

        Name: James M. Young

        Title: Vice President and

                     Chief Financial Officer

EX-99.1

EXHIBIT 99.1

Broadridge Expands its Wealth Management Capabilities

Through Acquisition of M&O Systems, Inc.

Enhanced ability to help broker-dealers and wealth management firms with advisor support and transition to DOL Fiduciary Standards

LAKE SUCCESS, N.Y., Nov. 4, 2016 - Broadridge Financial Solutions, Inc. (NYSE:BR) has expanded its wealth management and U.S. Department of Labor (DOL) Fiduciary Rule compliance capabilities with the acquisition of M&O Systems, Inc., a leading provider of advisor compensation management solutions that help broker-dealers and wealth management firms support advisors and grow their businesses. Terms of the deal were not disclosed.

With this acquisition, Broadridge expands its wealth offerings to include advisor compensation and incentive management, advisor commission portal, account opening and client books and records solutions. These solutions offer an integrated approach to compensation across asset classes, including assets held-away, facilitating commission-based, asset-based, and other innovative and compliant compensation approaches. M&O Systems’ technology complements and extends Broadridge’s suite of DOL Fiduciary Rule solutions, which support firms in making suitable investment recommendations, producing, distributing and disclosing documents, and monitoring compensation levels.

“The acquisition of M&O adds best-in-class, back-office agnostic compensation management solutions to Broadridge’s market-leading product set,” said Charlie Marchesani, President, Global Technology and Operations at Broadridge. “As a result, Broadridge can now offer broker-dealers and wealth management firms a more complete suite of front- and back-office solutions ranging from advisor marketing and practice management capabilities to mission-critical brokerage investment platforms.”

“These capabilities complement Broadridge’s overall DOL Fiduciary Rule strategy by allowing us to provide a timely solution to help facilitate clients’ compliance with the Rule by calculating, monitoring, and reporting on compensation and tracking of Best Interest Contract Exceptions (BICE) and grandfathered accounts,” Mr. Marchesani added.

“Broadridge’s market-leading securities processing capabilities, operational expertise and commitment to serving its client base will enable us to bring greater value to our customers,” said Sean Haggerty, Chief Executive Officer and Chief Financial Officer of M&O Systems, Inc. “I am excited about the opportunities this acquisition will bring for our team.”

M&O Systems will be rebranded as Broadridge Advisor Compensation solutions.

Marlin & Associates acted as exclusive strategic and financial advisor to M&O Systems.

About Broadridge

Broadridge Financial Solutions, Inc. (NYSE:BR) is a leading provider of investor communications and technology-driven solutions for broker-dealers, banks, mutual funds and other corporations. Broadridge’s investor and customer communications, securities processing and managed services solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities. With more than 50 years of experience, Broadridge’ s infrastructure underpins proxy voting services for over 90% of public companies and mutual funds in North America and processes on average $5 trillion in equity and fixed income trades per day. Broadridge employs approximately 10,000 associates in 16 countries.

For more information about Broadridge, please visit www.broadridge.com.

About M&O Systems, Inc.

M&O Systems, Inc. is a leading provider of compensation, sales management, regulatory and business process solutions for retail and institutional broker-dealers, registered investment advisors and insurance agencies. M&O’s technology solutions are comprised of powerful and flexible configuration engines enabling our clients to achieve differentiation in the compensation, account opening, and client servicing tools they offer to their advisors. We help our clients recruit and retain top producers, drive efficiency and respond, in real time, to the ever changing business and regulatory landscape. Located in New York, NY, M&O has 40 years of continuous experience servicing some of the largest US financial services firms.

For more information about M&O, please visit www.mandosystems.com.

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Contact information:

Investors:

W. Edings Thibault

Investor Relations

+1 516-472-5129

Edings.Thibault@broadridge.com

Media:

Brett Philbin

Edelman

+1 212-704-8263

Brett.Philbin@edelman.com

Linda Namias

Broadridge Corporate Communications

+1 631-254-7711

Linda.Namias@broadridge.com