Compliance

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.  …

The FINRA 2025 Annual Conference focused on the future of financial regulation, highlighting the importance of modernization, technological integration, and risk management. Key topics included updates to regulatory frameworks, advancements in cybersecurity and fraud detection, the evolving role of artificial …

Today’s financial professionals operate in a high-velocity, high-expectation environment. Whether you’re raising capital, executing M&A, or sourcing alternative investment opportunities, speed and precision are non-negotiable. Yet for many broker-dealers, investment bankers, and fund managers, outdated compliance infrastructure continues to hold …

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 …

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 …

The Financial Industry Regulatory Authority (FINRA) has announced a sweeping review of its regulatory requirements, aiming to modernize rules, eliminate inefficiencies, and create a more dynamic regulatory environment. This initiative underscores FINRA’s commitment to investor protection and market integrity while …

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 …