Compliance

FINRA Moves to Modernize Pattern Day Trading Rules At its September 17–18 meeting, the FINRA Board of Governors approved amendments that will replace the long-standing pattern day trading rule including the $25,000 minimum equity requirement, with a new intraday margin …

Raising capital and executing private placements today requires precision, licensing, and compliance that most firms simply don’t have in-house. Building your own broker-dealer can take years and cost hundreds of thousands of dollars. Broker-dealer affiliation offers a faster, leaner, and …

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. FNEX 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 FNEX stands apart.  …

FNEX 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 FNEX 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.  …