News & Perspective

Real estate brokers moving into M&A need FINRA registration, not more state licenses. Learn the Series 79/82 path, sponsorship requirements, and why FINRA-registered advisors close bigger deals.

FINRA’s MQP explained for investment bankers: eligibility, benefits, and key limits — plus how state EVEP rules can still require retaking the Series 63.

Learn how SEC Rule 15a-6 and FINRA Rule 2040 enable us to help you close deals abroad.

Learn how FINRA Rule 2040, Fleischer v. Commissioner, and SEC guidance affect paying registered reps individually vs. into their entities.

Using public AI tools is generally considered a breach of an NDA. Here's why — and 6 ways to help reduce risk.

Avoid fee clawbacks with proper broker-dealer registration. Learn why M&A advisors operating across state lines need Series 79 or 82 sponsorship.

Learn which exam is right for M&A advisors, when broker-dealer sponsorship is required, and how Britehorn supports flexibility.

2025 has been a banner year, and we are proud to have welcomed an exceptional group of 31 investment banking, M&A advisory, and private placement professionals to the Britehorn Securities platform.

An independent broker-dealer is a FINRA-registered firm supporting M&A advisors and placement agents with broker-dealer sponsorship and compliance services.

See how Britehorn Securities provides industry-leading customer service as a broker-dealer.

Many M&A brokers often look to the federal broker exemption as a way to avoid the formalities and costs associated with FINRA registration. However, this may not be the smartest path forward — here's why.