FNEX News

A Major Structural Shift Microsoft and OpenAI have finalized a landmark agreement that will allow OpenAI to restructure as a public benefit corporation (PBC), removing prior fundraising constraints and giving CEO Sam Altman greater flexibility to drive growth across the …

As an FNEX Registered Representative, you gain more than broker-dealer affiliation. You operate on an AI-powered platform built specifically for private capital markets, combining Compliance-as-a-Service, institutional infrastructure, proprietary technology, and access to a nationwide network of investment banking professionals. Whether …

Deel Strengthens Its Global Payroll Dominance Global payroll and compliance leader Deel has raised $300 million in Series E funding, pushing its valuation to $17.3 billion. The round was led by Ribbit Capital, with participation from Andreessen Horowitz, Coatue Management, …

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 …

A Decade and Beyond of Growth, Leadership, and Innovation As FNEX marks its 13th anniversary, the firm reflects on a journey defined by innovation, discipline, and growth in the private markets. Since its founding in 2012, FNEX has completed more …

Elon Musk’s artificial intelligence company, xAI, is reportedly raising $20 billion in one of the largest private AI financing rounds to date, with Nvidia contributing $2 billion in equity. The funding round combines $7.5 billion in equity and $12.5 billion …

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 …

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, …