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Ten Sources of Information: Investment Banking Firms

Most businesses will need financing at some point in their existence, usually in the beginning. A business may need start-up financing, or it may need financing after being in operation for several years in order to grow or expand into new markets. There are a few different ways to fund your business venture. Generally speaking, funding for a business can come in the form of loans or investors.

If your business will have equity investors, you may want to use an investment banking firm. Among its many activities, an investment bank assists people and corporations by acting as the client's underwriter or agent in issuing securities. This article provides a brief overview of investment banking firms and ten sources to find out more information about these types of banks.

What Is an Investment Banking Firm?

The traditional aspect of investment banks is corporate finance, which helps businesses raise funds and advises them on mergers and acquisitions. This type of bank is different from commercial and retail banks because it does not take deposits. Any advisor who provides investment bank services must be a licensed broker-dealer, and is subject to the regulations of the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA).

Sources for More Information About Investment Banks

There are several ways to find out more about investment banking firms to determine if it's the right way to go for your business, since every business has different needs. The following sources can help you find out more information:

  1. You can make inquiries to securities lawyers.
  2. You can make inquiries to accounting firms experienced in underwriting of initial public offers of securities.
  3. You can have interviews and meetings with investment banking firm professionals.
  4. You can conduct telephone calls or meetings with the personnel of firms listed on an investment banking firm's transaction or client list.
  5. You can speak on the phone or in person with other businesses in your industry that have had experience with investment banking firms.
  6. You can make telephone calls or arrange meetings with commercial bankers who are involved in corporate finance.
  7. You can make inquiries to venture capital firms, which are companies that provide money ("capital") to start-up firms and small businesses with the thought that there will be long-term growth potential. By providing capital the firms receive equity in the companies that they are investing in.
  8. Financial trade publications such as Institutional Investor, particularly periodic publications with directories of investment banking firms, as well as the website for the Securities Industry and Financial Markets Association and Standard & Poor's Security Dealers of North America can be good sources of information to find out more about various investment banking firms.
  9. To find out whether a particular investment bank or any of its professionals has been the subject of a disciplinary action, you can use FINRA's BrokerCheck service.
  10. Probably one of the easiest and fastest ways to find out more information is to review the brochures and websites of investment banking firms.

For more information and resources related to this topic, you can visit FindLaw's section on Business Finances.

Getting Legal Help

If you have questions or concerns about investment banking firms, or would like to find out more information about financing your business, you may want to contact a local business and commercial attorney for guidance.

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