Preparing to Buy a Brokerage

28 March 2011 Publication
Authors: Edwin D. Mason

Compliance Reporter

Foley Partner Edwin Mason authored an article that appeared in Compliance Reporter on March 28, 2011 titled "Preparing to Buy a Brokerage." Mason offers advice to in-house professionals on the regulatory issues they must handle when their firm is looking to buy a broker/dealer (B/D), stating that an increasingly competitive marketplace and a desire by larger financial institutions to expand the size of their U.S. investment banking practices are fostering an environment of M&A activity and consolidation within the B/D industry. He predicts continued increases in M&A activity, particularly amongst small and medium-sized firms, adding that paying close attention to the regulatory concerns affecting B/D M&A will increase the probability of companies completing successful deals.


Related Services


CMS Proposes Enhanced Scrutiny over Medicaid Supplemental Payments
20 November 2019
Health Care Law Today
The Purpose of a Corporation
November 2019
Legal News: Business Law
Should This Be a "Mobility" Industry Blog?
19 November 2019
Dashboard Insights
Data Processing Patent Eligibility: Federal Circuit Finds Claims Eligible in KPN v. Gemalto
19 November 2019
IP Litigation Current
PATH Summit 2019
18-20 December 2019
Arlington, VA
Madison CLE Days
18-19 December 2019
Madison, WI
MedTech Impact Expo & Conference
13-15 December 2019
Las Vegas, NV
HFMA MA-RI Annual Compliance Update
12 December 2019
Boston, MA