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Investment bankers, dealmakers, and independent placement agents are, rightfully, keenly sensitive to receiving a clean bill of health from FINRA. In this article, we...

In late December 2022, President Biden signed the Consolidated Appropriations Act of 2023 into law. Among its provisions is one that clarifies SEC and FINRA...

Thinking about becoming a licensed broker? To operate as one, or to become a registered representative of a broker-dealer, you will have to pass FINRA licensing...

Each month, our Compliance Corner brings you the most important regulatory updates, breaking down what changed, why it matters, and how it may affect your business.

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Technology is at the forefront of nearly every new innovation in the modern business world, and mergers and acquisitions are no exception. From supercomputing to social...

If you're looking to build a successful career in investment banking, securing a broker-dealer sponsorship is one of the most important steps you can take. What exactly...

As a registered broker-dealer under the oversight of the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), Finalis...

Over time, the financial industry’s atomization has led to increased competition and complexity in the sector, posing challenges for small financial entities in terms...

In a strong show of leadership, Finalis Securities, LLC submitted a public comment in response to FINRA’s Regulatory Notice 25-04, which solicits industry feedback on a...

For almost a century, professionals working in mergers and acquisitions operated in a sort of regulatory limbo, as outlined by the Securities Exchange Act of 1934...