Strategies For Broker-Dealers: Moving Forward During Economic Difficulty

16 March 2009 Miami, FL Past Event

Location

The Banker's Club of Miami
One Biscayne Tower
2 South Biscayne Boulevard, Suite 1900
Miami, FL 33131

Contact Information

Elie Harris
eharris@foley.com

Agenda

12:00 p.m. Eastern

The financial crisis poses serious challenges to all industries, especially to broker-dealers who face a drastically changed marketplace and increased regulatory scrutiny. Despite these struggles, there may be opportunities for broker-dealers to emerge from and move forward in the economic crisis.

This Foley Executive Briefing Series program focused on strategies for enduring the financial crisis and adapting new business models needed for the uncertain future ahead.

Topics included:

  • Industry trends, opportunities, and risks
  • Merger and acquisition considerations and strategies
  • FINRA enforcement issues and guidance
  • Regulatory developments for financial services companies

Speakers

  • Edwin D. Mason
    Foley Partner, Transactional & Securities and Private Equity & Venture Capital Practices
  • Richard G. Wallace
    Foley Partner, Securities Enforcement & Litigation Practice, and Former Vice President and Chief Counsel, FINRA Market Regulation Department

Moderators

  • Martin A. Traber
    Foley Partner, Private Equity & Venture Capital and Transactional & Securities Practices
  • William E. Davis
    Managing Partner, Foley's Miami office, and Partner, General Commercial Litigation and Intellectual Property Litigation Practices

To learn more about this program, please contact Elie Harris at eharris@foley.com.

Strategies for Broker-Dealers: Moving Forward During Economic Difficulty is part of the Foley Executive Briefing Series.

Related Services

Strategies For Broker-Dealers: Moving Forward During Economic Difficulty

Location

The Banker's Club of Miami
One Biscayne Tower
2 South Biscayne Boulevard, Suite 1900
Miami, FL 33131

Contact Information

Elie Harris
eharris@foley.com

Agenda

12:00 p.m. Eastern