FNEX News

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 …

Wow, that was unexpected. Macro indicators look stretched, public P/E multiples are off the charts, equities breadth is very thin, and here at FNEX we think the public markets are looking toppy. That said, our Broker Advisory Board Meeting projected …

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 …

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 …

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 …

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.  …

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 …

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 …

Record transaction volumes, shifting allocator sentiment, and rising liquidity needs are reshaping the private market landscape. The secondary market is in the midst of a historic expansion. Global secondary transaction volume reached an all-time high of $162 billion in 2024, …