Finalis hosted a candid conversation between Chief Compliance Officer Steven Price and CEO Federico Baradello on September 29th, 2026, regarding the M&A broker exemption.
Public source
Publisher name
Public post
Most independent bankers have an opinion about the M&A broker exemption. Fewer are sure they're right. It's one of the most misread rules in independent banking. Some ad…
Company
Finalis
Compliance that works for you
- Industry
- Investment Banking
- Location
- San Francisco, US
- Company size
- 51–200 employees
About Finalis
Compliance should support growth, not slow it down. Finalis helps independent dealmakers operate efficiently and confidently with fully-integrated compliance and dealflow infrastructure. We serve elite M&A advisors and placement agents. Finalis combines compliance, operational support, and dealflow infrastructure in one platform. Advisors receive hands-on support from experienced professionals. Our model is built to help you scale quickly and efficiently. Independent firms need flexibility without sacrificing standards. Finalis provides institutional-grade support with an independent mindset. Dealmakers stay focused on relationships and execution.
See moreLatest activity
Latest activity from Finalis
3 signals
Presence & Recognition
Finalis CCO Steve Price is running a session on the M&A broker exemption on September 29 at 12pm ET.
Research & Knowledge
Finalis published an article on Advisory List breaking down exactly what to evaluate, including compliance infrastructure, FINRA license sponsorship, deal workflow tools, and what a BD's network is worth.
Discover more
Similar signals
Similar public activity from other companies.
Presence & Recognition
RiskExec
RiskExec is hosting a 30-minute session on September 3, 2026, featuring Sarah Brons and Katey McBurney walking through the last two months of platform releases in one session.
Presence & Recognition
Arcsalus Advisors
Arcsalus Advisors is hosting a Compliance Officer Boot Camp for compliance professionals to level up their expertise.
Presence & Recognition
Comply
Comply and Aptus Capital Advisors are hosting a Lunch & Learn event on September 22, 2026, to discuss building scalable compliance and investment infrastructure for RIAs navigating complex regulatory environments.
Presence & Recognition
Novatus
Novatus is hosting an in-person breakfast briefing in the City of London on Wednesday, 23 September 2026, to help firms prepare for MiFID transaction reporting reforms.
Presence & Recognition
Octus