The post The Ultimate SIE Exam and FINRA Sponsorship Guide for Placement Agents appeared first on https://finiq.vipp=2515 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 …

The post Compliance Clarity in M&A: What Dealmakers Need to Know appeared first on https://finiq.vipp=2512 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 …

The post How Boutique Investment Banks Scale Faster with FINIQ Broker-Dealer Compliance appeared first on https://finiq.vipp=2507 Wow, that was unexpected. Macro indicators look stretched, public P/E multiples are off the charts, equities breadth is very thin, and here at FINIQ we think the public markets are looking toppy. That said, our Broker Advisory Board Meeting projected …

The post FINIQ Newsletter Q3’2025 appeared first on https://finiq.vipp=2504 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, …

The post FINRA Intensifies Focus on Individual Accountability in Misconduct Cases | FINIQ Broker-Dealer Compliance appeared first on https://finiq.vipp=2495 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 …

The post Broker-Dealer Compliance in 2025: Licensing, Infrastructure, and FINIQ Solutions  appeared first on https://finiq.vipp=2492 What Are Private Company Shares?  Private companies issue shares that are not listed on public exchanges. Instead, these shares of private companies are held by early investors, employees, and select stakeholders. Unlike public stock, they can only be traded through …

The post How to Buy and Sell Private Company Shares | FINIQ Pre-IPO Trading Guide appeared first on https://finiq.vipp=2472 Bold Move by AI Startup Perplexity On August 12, 2025, artificial intelligence startup Perplexity made headlines by submitting an unsolicited all-cash offer of $34.5 billion to acquire Google’s Chrome browser. The bid significantly surpasses both Perplexity’s own valuation and public …

The post Perplexity’s $34.5 Billion Bid to Acquire Google Chrome Shocks Tech World appeared first on https://finiq.vipp=2466 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 …

The post Placement Agent Licensing: What You Need to Know Before Raising Capital  appeared first on https://finiq.vipp=2469 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.  …

The post Why Switching to FINIQ Broker-Dealer Compliance Is a Smarter Move for Investment Professionals  appeared first on https://finiq.vipp=2461 The private capital markets have a new milestone to dissect—OpenAI, the artificial intelligence company behind ChatGPT, has raised $8.3 billion in a heavily oversubscribed round at a staggering $300 billion valuation, according to The New York Times. The deal represents …

The post OpenAI Raises $8.3 Billion at $300 Billion Valuation: What It Signals for Private Market Allocators appeared first on https://finiq.vipp=2455 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 …

The post Streamline Deal Execution with Broker-Dealer Compliance Solutions: FINIQ FAQ  appeared first on