Compliance

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.