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Recent mentions and coverage of Finalis

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August 13, 2026

Finalis Names Former FINRA Investigations Chief Steven Price CCO as AI Accelerates Investment Banking Shift to Independent Dealmakers

Finalis appoints Steven Price — former Head of FINRA Market Investigations — as Chief Compliance Officer, bringing over 15 years of regulatory leadership to its broker-dealer platform. Price led FINRA's teams investigating potential misconduct across U.S. securities markets and built the agency's first AI-driven investigative tool. The hire reinforces Finalis's commitment to institutional-grade compliance as independent investment bankers increasingly move away from traditional firms.

PitchBook Now Available to Finalis Members at Institutional Rates

Finalis, a leading FINRA-registered broker-dealer and deal infrastructure platform, announced an agreement with PitchBook that provides Finalis members access to PitchBook seats at institutional rates.

September 19, 2023

Finalis Expands Regulatory Approvals with FINRA and the SEC to Support a Growing Range of Capital Markets Activities

Finalis, the rapidly growing dealmaking platform, just announced major regulatory approvals from FINRA and the SEC, empowering our affiliated dealmakers to expand their capital markets activities.

Finalis Achieves SOC 2 Type 2 Compliance

Finalis achieves SOC 2 Type 2 compliance, providing enterprise-level security for customer data on its capital markets dealmaking platform.