FINIQ Solutions

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 …

For decades, traditional portfolio models anchored in public equities and fixed income, served as the foundation for wealth preservation and growth. But today, leading financial wealth managers are steering their clients in a new direction: direct alternative investments. Private equity, …

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 …

Artificial Intelligence (AI) has rapidly evolved from a tech buzzword into a core business and investment theme. Technologies like Generative AI, NLP, and neural networks are now foundational across industries, driving corporate innovation and attracting record capital inflows. AI mentions …

Indianapolis, Ind. (10 March 2025) – FINIQ, a leading fintech-enabled investment bank, recently announced the launch of FINIQ Wealth, a multi-family office platform designed to empower wealth managers and RIAs in delivering sophisticated, institutional-quality solutions to their high-net-worth (HNW) clients. …

The financial industry is constantly evolving, and investment professionals need smarter, more efficient ways to manage distribution, fundraising, and investor engagement. Traditional methods involving scattered spreadsheets, manual processes, and outdated platforms can slow down growth and create unnecessary hurdles. That’s …

As financial advisors increasingly diversify client portfolios, alternative investments are becoming a cornerstone of wealth management strategies. Private markets, structured investments, and cutting-edge technology are reshaping how advisors allocate capital, offering new ways to optimize returns and manage risk. However, …

Indianapolis, Ind. (26 February 2025) – FINIQ, a leading fintech-enabled investment bank, recently announced the launch of FINIQ Wealth, a multi-family office platform designed to empower wealth managers and RIAs in delivering sophisticated, institutional-quality solutions to their ultra-high-net-worth (UHNW) clients. …

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 …