Understanding the M&A Broker Exemption

On September 29th, Finalis hosted a live session on a commonly misread rule in independent banking: the M&A broker exemption.

Leading it was Steve Price, Finalis' Chief Compliance Officer, who spent six years at FINRA, most recently running the market investigations teams that look into potential misconduct across US securities markets, and before that served as the inaugural head of FINRA's National Cause Program.

Finalis CEO Fed Baradello hosted the conversation.

Complete the form to access the recording of that conversation.