Foley Partner Edwin Mason authored an article that appeared in Registered Rep on June 24, 2011 titled “Acquiring a B/D? Use This Checklist.” Mason discusses increasing broker/dealer M&A activity and provides an overview of regulatory matters for financial firms to consider when planning a deal. He states that paying attention to the unique regulatory concerns impacting broker/dealer M&A early in the deal process will increase the probability of parties closing a successful acquisition.
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