Becoming a securities broker-dealer is both an opportunity and a responsibility. For independent brokers, placement agents, private placement firms, navigating licensing requirements, infrastructure needs, and compliance oversight can be complex. FINIQ Compliance Services simplify this process with tailored solutions that combine technology with regulatory expertise.
What is a Broker-Dealer?
A broker-dealer is a firm or individual licensed to trade securities on behalf of clients and for its own account. All firms must be registered broker-dealers with FINRA to operate legally in the United States. The role extends beyond trading and includes regulatory compliance, client protection, and maintaining supervisory systems.
Broker-Dealer License Requirements
Obtaining a broker-dealer license requires:
- Registration with the SEC and FINRA.
- Meeting state-level registration obligations.
- Passing FINRA licensing exams such as the Series 7 or Series 82.
- Meeting financial reporting standards and supervisory structures.
FINIQ Compliance Services help independent brokers and placement agents navigate these requirements with efficient compliance frameworks and streamlined registration support.
Broker-Dealer Compliance: A Critical Priority
Firms face constant regulatory changes, and broker-dealer compliance consulting is essential to meeting obligations.
FINIQ delivers a complete compliance solution that includes:
- Ongoing monitoring and regulatory reporting.
- Access to experienced compliance consultants.
- Tailored support for placement agents and private placement broker-dealers working with accredited and institutional investors.
- SEC 15a-6 chaperoning services, enabling foreign broker-dealers to access U.S. institutional investors under FINIQ’s supervision.
Rather than providing isolated advice, FINIQ Compliance Services integrate compliance directly into a firm’s infrastructure.
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The Best Brokerage Infrastructure
The best brokerage infrastructure is about more than execution speed. It requires scalable systems, risk management, and regulatory oversight. FINIQ delivers:
- Scalable services for alternative investment distribution.
- Technology-enabled compliance systems.
- Infrastructure designed for independent brokers, placement agents, family offices, and funds.
This positions FINIQ as the leading partner for professionals who demand efficiency, compliance, and deal flow support.
Broker-Dealer Compliance Technology and Training
FINIQ emphasizes not only infrastructure but also education. With the growing demand for compliance training solutions, FINIQ Compliance Services integrate advisory tools and training directly into the platform. This ensures financial professionals understand their responsibilities, reduces firm-level risk, and strengthens supervisory culture.
Private Placements and Alternative Investments
FINIQ specializes in private markets by connecting institutional and accredited investors with opportunities through FINIQ Alternatives Market and FINIQ Institutional Dark Pool. As a managing broker-dealer, FINIQ provides:
- Transaction support for private placements.
- Secondary market access for late-stage private shares.
- Customized compliance support for fund distribution.
- SEC 15a-6 chaperoning services for cross-border transactions.
This makes FINIQ the partner of choice for placement agents, independent brokers, and firms focused on alternative investments.
Why Choose FINIQ Broker-Dealer Compliance Service?
Many compliance firms offer only pieces of the puzzle. FINIQ delivers the full solution—FINRA licensing support, infrastructure, SEC 15a-6 chaperoning, compliance oversight, and distribution. This reduces the need for multiple vendors, accelerates onboarding, and provides confidence in regulatory coverage.
Partner with FINIQ
Whether you are learning how to become a licensed broker-dealer, seeking compliance support, or building scalable infrastructure for alternative investments, FINIQ provides the expertise and technology to help you succeed.
