Chaperone Archives - FINIQ https://finiq.vipategory/chaperone/ Fri, 30 May 2025 16:06:05 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.2 Breaking into the U.S. Market: What Foreign Broker-Dealers Need to Know https://finiq.vipreaking-into-the-us-market/ Fri, 30 May 2025 15:52:43 +0000 https://finiq.vipp=2225 The United States remains the largest and most sophisticated capital market in the world. For foreign broker-dealers, access to U.S. institutional investors can dramatically expand distribution reach and unlock new capital-raising opportunities. However, this access is heavily regulated. Foreign financial …

The post Breaking into the U.S. Market: What Foreign Broker-Dealers Need to Know appeared first on https://finiq.vipp=1966 The U.S. capital markets, overseeing over $115 trillion in annual securities trading (SEC, 2023), offer unmatched opportunities for foreign financial institutions. However, strict SEC and FINRA regulations create substantial barriers for non-U.S. firms looking to engage with U.S. institutional investors.  …

The post Unlocking U.S. Capital Markets: Why FINIQ’s SEC 15a-6 Chaperoning is the Smarter Choice  appeared first on https://finiq.vipp=1411 Registering as a broker-dealer is an intensive and high-stakes process. With increasingly stringent regulations imposed by the SEC and FINRA, many firms face significant operational challenges. Independent brokers and financial institutions are turning to specialized services to manage the demands …

The post How to Register as a Broker-Dealer: Steps, Compliance & Requirements for 2025 appeared first on https://finiq.vipp=1358 Looking to understand the true costs of establishing a broker-dealer? Learn about the hidden expenses, compliance challenges, and smarter alternatives. Discover how FINIQ, a FINRA-member broker-dealer, can simplify the process and reduce costs.

The post Broker-Dealer Licensing Made Easy with FINIQ appeared first on https://finiq.vipp=1317 Explore how foreign broker-dealers can efficiently raise capital in the US capital markets through SEC Rule 15a-6 Chaperoning. Understand the regulatory landscape, permitted activities, and the advantages of partnering with a chaperoning broker-dealer for compliance and support.

The post Raising Capital Across Borders – The Foreign Broker-Dealer Chaperoning Solution appeared first on