Finalis updates

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


Last edited in Sep 19, 2023

San Francisco and New York
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Victoria Hearne

SAN FRANCISCO and NEW YORK – September 19th, 2023 – Finalis, the world's fastest-growing dealmaking platform, has achieved a significant milestone on its journey to redefine the capital markets. Today, Finalis is announcing substantially expanded regulatory approvals by the Financial Industry Regulatory Authority and the Securities and Exchange Commission that enable Finalis to support a growing range of capital markets activities for its affiliated dealmakers.

The newly acquired regulatory approvals enable Finalis to facilitate a range of critical capital markets capabilities, including:

  • Public markets transactions;
  • Digital asset and securities transactions; and
  • Distribution of research by non-U.S. investment banks in the U.S.
“These new regulatory approvals further position Finalis at the forefront of innovation in the capital markets,” said Federico Baradello, Founder & CEO of Finalis. “We are committed to delivering solutions that not only meet stringent regulatory requirements, but also empower our customers and partners to thrive in an ever-evolving capital markets landscape.”

The expanded regulatory approvals represent a significant achievement and are a testament to the confidence that regulators have in the Finalis platform's robust compliance infrastructure.

Most importantly, these approvals enable Finalis to better serve its customers and partners – independent and boutique investment banks, placement agencies, and M&A advisories – which represent the fastest-growing segment of dealmakers globally.

Patrick Yeghnazar, Managing Partner of 1V1sion Capital, a leading NYC based boutique merchant bank, and a Finalis customer, is confident these new approvals will deliver significant capital markets capabilities fo 1V1sion, saying “We are thrilled that Finalis has broadened its range of offerings to include publicly traded securities. With this enhanced regulatory capacity, we are poised to extend our influence and offer institutional-grade investment opportunities to astute investors across both the public and private markets. This evolution marks an exciting milestone in our journey to provide superior investment solutions.”

About Finalis:

Finalis’ commitment to redefining the capital markets through innovation has made it the world’s fastest-growing dealmaking platform. The Finalis platform supercharges independent investment bankers, placement agents, and M&A advisors globally. 

Finalis’ Deal Engine automates and accelerates every aspect of the deal life-cycle from start to finish on their deal life-cycle: from Workflow, to Connect, through Ledger with the market’s most attractive rates, resulting in substantial cost savings for our partners which leverage a growing global network of over 300 bankers. 

With Finalis Workflow, customers effortlessly streamline dealmaking processes using cutting-edge, compliant, and technology-driven workflows, ensuring efficiency and accuracy throughout the entire deal lifecycle. With Finalis Connect, customers gain access to the industry’s fastest-growing network of professionals, including investment bankers, placement agents, M&A advisors, funds, and companies actively seeking new opportunities in the capital markets. With Ledger, customers access a custom-built solution that delivers secure wire tracking, same-day processing, and expert regulatory compliance monitoring.  Together, these solutions provide customers with unparalleled leverage and confidence in executing capital markets transactions.

For more information about Finalis and its groundbreaking dealmaking platform, please visit

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