Compliance

For professionals working in the U.S. securities industry, understanding FINRA’s exam requirements is essential for staying compliant, expanding deal capabilities, and earning client trust. Whether you’re advising on mergers and acquisitions, executing public offerings, or raising capital through private placements, …

In today’s expanding private capital markets, the Series 82 exam provides a regulatory pathway for professionals focused exclusively on private placements and direct participation programs. For firms and individuals seeking to distribute private securities under Regulation D and other exempt …

As investment banking continues to evolve, the Series 79 exam remains a critical credential for professionals leading complex transactions. Whether advising on M&A, raising capital, or navigating regulatory filings, the exam sets the standard for industry readiness. What Is the …

In the world of regulated finance, the Series 7 exam represents a critical milestone for financial professionals seeking to operate in the U.S. securities markets. For those looking to join an investment banking team, act as a placement agent, or …

The Financial Industry Regulatory Authority (FINRA) has announced a sweeping review of its regulatory requirements, aiming to modernize rules, eliminate inefficiencies, and create a more dynamic regulatory environment. This initiative underscores FINRA’s commitment to investor protection and market integrity while …

Regulatory compliance is a critical but complex responsibility for financial firms. From broker-dealers to asset managers, staying compliant with FINRA, SEC, and other regulatory bodies requires significant time, resources, and expertise. As regulations evolve, firms must continuously adapt—often at great …

For financial professionals aiming to build a successful career in investment banking, securing a broker-dealer sponsorship is a pivotal step. Broker-dealer sponsorship provides the necessary regulatory backing, compliance oversight, and resources to operate within the securities industry. But what exactly …

The complexity of broker-dealer compliance – ranging from FINRA and SEC oversight to Anti-Money Laundering (AML) policies and transaction reporting, often presents a significant barrier for firms looking to enter the market. FINIQ White-Label Broker-Dealer Compliance Solutions mitigate these challenges …

The Securities and Exchange Commission (SEC) regularly updates its examination priorities for broker-dealers to ensure compliance with evolving regulations. For 2025, the SEC will focus on several key areas to protect investors and maintain market integrity. Here’s what broker-dealers need …

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 …

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.

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.