Streamline your dealmaking with compliant tech-driven workflows

Finalis offers white-labeled U.S. regulatory broker-dealer affiliations for boutique investment banks, placement agencies and independent investment bankers and brokers who do not own their own broker-dealer entity. We provide Partners with flexible coverage across all 53 U.S. states and territories, and international coverage for foreign broker-dealers seeking access to U.S. investors via 15a-6 chaperoning. Finalis is the last-mile regulatory solution that you need to access the U.S. capital markets. 

Maintain your regulatory licenses and requirements with Finalis’ compliance solutions

• Onboarding: Streamline your U4 submission and process your regulatory filings with Finalis’ cloud-based solutions
• Qualification Exam Sponsorships: Expand your securities-related business by receiving new regulatory licenses. We regularly sponsor our partners for FINRA qualification exams and our partners benefit from Finalis’ exam prep discounts 
• Continuing Education: Access regulatory and firm element training to keep your licenses in good standing
• Outside Business Activities & Private Securities Transactions Reporting: Submit and receive approvals for your Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) through our platform

Streamlined compliance solutions covering your end-to-end deal lifecycle

• KYC/AML and Suitability: Background and suitability checks on deal parties, including adverse media, anti-money laundering, politically-exposed persons, bad actor, and sanctions checks
• Deal Document Processing: Efficient deal document processing that leverages pre-approved templates to reduce turnaround times
• Marketing Materials: Streamlined review of new marketing communications to ensure regulatory compliance
• Closing Documents: Meet regulatory compliance obligations with reviews of necessary deal closing documents

Ensure your deals remain in compliance with applicable federal and state laws and regulations

• Expert review to determine whether your deal falls under applicable M&A broker activity exemptions or requires broker-dealer affiliation

Keep abreast of the latest regulatory developments and remain in compliance

• Continuous monitoring of regulatory developments within FINRA, the SEC and U.S. state securities departments
• Regulatory license monitoring to ensure that affiliated persons remain in continuous compliance
• Regulatory inquiry monitoring and notification to our respective partners
• Finalis compliance team attendance at key regulatory events

Your secure centralized location for storing and sharing sensitive documents

• Securely store and share confidential information with internal and external parties with ease
• Built to industry security standards and with applicable regulatory compliance requirements
• Create and share folders with your team, clients, potential bidders, and investors safely and with one-click
• Track visitor and download activity in real time

Access Finalis’ customizable and market-tested transaction templates

• Execute agreements and engagements quicker by leveraging more than 20 document templates including: Sell-Side and Buy-Side Engagement Letters, Fee Sharing Agreements, Non-Disclosure Agreements, and much more

_{*Finalis is not a law firm. All materials are provided for informational purposes only and do not constitute or contain legal advice, nor are they intended to by Finalis.} 

Win confidence in your dealmaking with deal document processing and execution of Finalis co-signed deal documents

• Turnaround times that move at the speed of your business 
• Reduce complexity, workload and legal expenses
• Leverage DocuSign integration for e-signatures
• Backed by an experienced legal team