Broker-Dealer Compliance Service

Elevate Your Compliance with FNEX Broker-Dealer Services

FNEX delivers AI-powered RegTech infrastructure and turnkey broker-dealer services designed to help investment bankers, placement agents, fund distributors, and capital markets professionals navigate today’s complex regulatory landscape. Through our FINRA-member broker-dealer platform, firms gain access to FINRA license sponsorship, regulatory supervision, transaction oversight, and technology-enabled back-office support without the cost, time, and operational burden of establishing and maintaining their own broker-dealer.

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$26B+
Transactions Completed
160+
Financial Professionals
50
States Coverage
FINRA
Member Broker-Dealer
Who We Help

Who This Service Is For

FNEX delivers turnkey broker-dealer registration and comprehensive broker-dealer compliance solutions for:

Independent Investment Banking Teams

Seeking FINRA sponsorship without establishing their own broker-dealer.

Asset Managers & Distribution Professionals

Who need regulatory infrastructure to raise capital across U.S. markets.

Placement Agents, Wholesalers & Third-Party Marketing Groups

Operating under private placement exemptions on a placement agent compliance platform.

Fund Sponsors & Asset Managers

Seeking scalable institutional infrastructure for ongoing deal activity.

Plus foreign broker-dealers and asset managers seeking SEC Rule 15a-6 chaperoning to access U.S. institutional investors.

Why FNEX

Why Partner with FNEX?

A FINRA-registered broker-dealer affiliation designed to streamline your compliance and transaction processes.

Efficient Cost Structure

A cost-efficient broker-dealer structure that helps you retain more of your revenue while minimizing overhead.

Proprietary Tech-Enabled Solutions

AI-powered, tech-driven back-office solutions with advanced tools for reporting, analytics, and communication.

Fast-Track Operational Setup

Fast-track broker dealer operational setup gets your team live in weeks, in some cases days, on FNEX DataBank.

Robust Compliance Framework

A comprehensive framework keeping you compliant with SEC and FINRA guidelines: regulatory filings with the SEC, FINRA, and 50 States and Territories, due diligence support, and ongoing training and resources.

Access to a Powerful Network

Leverage FNEX’s network of 160+ financial professionals and industry relationships to expand your reach and accelerate deal flow, while maintaining full control of your client relationships, deal pipeline, and execution.

White-Label Solution

Simplify Your Broker-Dealer Strategy with FNEX

Operate under your own brand and identity on a white label broker-dealer platform while leveraging FNEX’s FINRA registration, supervisory infrastructure, and compliance systems, with no need to establish or maintain your own broker-dealer entity.

Build Your Own Broker-Dealer

  • Months to become operational
  • Significant infrastructure and buildout costs
  • Hire and manage compliance staff
  • Complex regulatory filings and approvals
  • Ongoing maintenance and overhead

Partner with FNEX

  • Fast-track operational setup in weeks, in some cases days
  • Leverage an existing FINRA platform
  • Compliance, supervision and infrastructure included
  • Series 7, 79, and 82 sponsorship and affiliation
  • White-label solution — your brand, our backing

Our solution includes broker-dealer affiliation, Series 7, 79, and 82 sponsorship, Series 7 registration backup, and Series 82 affiliation, with full-service compliance coverage across all 50 U.S. states, territories, and international markets, including SEC Rule 15a-6 chaperoning services for foreign fund distributors and asset managers seeking access to U.S. investors.

FAQ

Frequently Asked Questions

FNEX provides broker-dealer sponsorship, regulatory filings, AML oversight, and a turnkey compliance platform that allows boutiques to focus on growth instead of regulatory hurdles.
FINRA sponsorship means an independent professional or team operates under the regulatory umbrella of an existing FINRA-member broker-dealer. The sponsoring firm handles registration, supervision, and compliance infrastructure, allowing the sponsored team to conduct securities business without forming their own broker-dealer entity.
Yes, FNEX’s white-label broker-dealer platform allows boutique banks to maintain brand independence while gaining access to complete compliance supervision, regulatory tools, and operational infrastructure.
FNEX can help independent teams become operational in weeks, and in some cases days. Fast onboarding reduces ramp time, accelerates revenue, and eliminates the delays common with traditional broker-dealer launches.
FNEX manages supervisory procedures, AML reviews, Form U4 filings, CE tracking, email and communications monitoring, advertising review, Reg D compliance, and transaction oversight. FNEX ensures firms operate within FINRA and SEC regulatory frameworks.
Reg D is an SEC exemption allowing companies to raise capital through private placements without full public registration. Compliance requires Form D filings, investor accreditation verification, and adherence to Rule 506(b) or 506(c) solicitation rules. FNEX manages Reg D compliance as part of its full-service broker-dealer platform.
Rule 15a-6 allows foreign broker-dealers to conduct limited activities with U.S. institutional investors, provided a registered U.S. broker-dealer chaperones those interactions. Foreign fund distributors and asset managers seeking access to U.S. investors typically require this service. Learn more about FNEX SEC Rule 15a-6 chaperoning services.
A white label broker-dealer platform lets your firm operate under its own brand while running on another firm’s FINRA registration, supervisory infrastructure, and compliance systems. FNEX provides turnkey broker dealer infrastructure so you gain full regulatory coverage without establishing or maintaining your own broker-dealer entity.
Yes. FNEX provides FINRA license sponsorship including Series 7 registration backup, Series 79, and Series 82 affiliation for qualified professionals and teams actively engaged in business under our broker-dealer platform.

Partner with FNEX

Ready to optimize your business with a trusted broker-dealer partner? Our team of compliance experts is committed to providing the support and resources you need to close more deals.

Schedule a Consultation

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