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. FNEX 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 FNEX, 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.