Make compliance a competitive advantage

Finalis offers a regulatory affiliation and compliance platform tailored for investment firms, M&A advisors, and placement agents. As a registered broker-dealer, Finalis provides full regulatory coverage, automated oversight, and 24/7 support—allowing firms to retain autonomy while accessing U.S. capital markets. It eliminates the burden of broker-dealer ownership and ensures adherence to FINRA, SEC, and state regulations.

Your commercially-minded compliance partner. Add Finalis to your team

• Registered broker-dealer with deep regulatory expertise
• Experienced with foreign firms (non-U.S. registered)
• Dedicated Customer Success Manager
• Around-the-clock access to our platform and engaging our Support Teams

Regulatory affiliation that works for you We deliver all the benefits of broker-dealer ownership, without the headaches

• Full broker-dealer registration and ongoing supervision
• Ensured adherence to FINRA, SEC, and state regulations
• Guidance on regulatory rule interpretations

Features

• Broker-Dealer Registration & Supervision: Full compliance infrastructure without the need to own a broker-dealer.
• Automated Oversight: Continuous monitoring and support to ensure regulatory adherence.
• Global Firm Support: Expertise in onboarding and supporting non-U.S. registered firms.
• Capital Market Access: Seamless entry into U.S. markets with institutional-grade compliance.
• Flexible Affiliation Models: Tailored solutions for firms seeking to reduce overhead or unwind existing broker-dealers.