Strategies For Broker-Dealers: Moving Forward During Economic Difficulty

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 [email protected].

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