Compliance

The Securities Industry Essentials (SIE) Exam is the starting point for anyone pursuing a career in the securities industry. Introduced by FINRA to simplify the licensing process, the SIE exam establishes baseline knowledge in markets, securities products, and regulatory compliance. …

Mergers and acquisitions are among the most complex transactions in business. They bring together buyers, sellers, advisors, legal counsel, and investors in a high-stakes process that can span months or years. Yet compliance is the very factor that can determine …

Launching a boutique investment bank is no small task. For many independent teams, the challenge isn’t sourcing deals or serving clients, it’s navigating the regulatory complexity that comes with broker-dealer compliance. SEC and FINRA filings, licensing requirements, AML oversight, and …

A Shift in Regulatory Strategy  The Financial Industry Regulatory Authority (FINRA) is signaling a decisive shift in enforcement priorities. While broad corporate penalties remain a tool in the regulator’s arsenal, FINRA is increasingly focused on holding individual brokers, registered representatives, …

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 …

If you’re acting as an intermediary to raise capital for private funds, real estate sponsors, or growing companies, you’re likely functioning as a placement agent. Whether you’re an individual professional or operating a firm, securing the proper licensing is essential—not …

Today’s dealmakers demand more than just a FINRA-member broker-dealer. They need a partner who understands the fast-paced, high-stakes world of investment banking—and provides the tools, technology, and support to accelerate growth, not slow it down.  That’s where FINIQ stands apart.  …

FINIQ is a FINRA-member broker-dealer providing regulatory infrastructure, white-labelled branding, and broker-dealer compliance support for independent investment bankers, M&A advisors, and placement agents. Our tech-enabled platform helps you streamline deal execution, stay compliant with securities regulations, and scale your business …

What Is Broker-Dealer Sponsorship?  Broker-dealer sponsorship allows independent financial professionals to legally offer and execute securities transactions under a registered FINRA broker-dealer. It is ideal for:  Partnering with a broker-dealer sponsor like FINIQ eliminates the need to start your own …

For many investment professionals, owning a broker-dealer sounds like the ultimate step toward independence. But the reality is often different.  Compliance obligations, rising legal fees, and back-office distractions can stall growth and drain resources long before your business gains traction.  …

The FINRA 2025 Annual Conference focused on the future of financial regulation, highlighting the importance of modernization, technological integration, and risk management. Key topics included updates to regulatory frameworks, advancements in cybersecurity and fraud detection, the evolving role of artificial …

Today’s financial professionals operate in a high-velocity, high-expectation environment. Whether you’re raising capital, executing M&A, or sourcing alternative investment opportunities, speed and precision are non-negotiable. Yet for many broker-dealers, investment bankers, and fund managers, outdated compliance infrastructure continues to hold …