M&A Services

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M&A Services

Foreside has strategic-thinking, compliance-focused professionals who can provide comprehensive Series 79 FINRA licensing services for investment bankers and M&A advisers.

Foreside can:

  • Provide licensing and compliance services for registered representatives (Reps) through a limited purpose broker-dealer
  • Process, maintain, and update all FINRA and state registrations for the licensed individuals
  • Furnish licensed individuals with required continuing education including annual “Firm Element” training and ongoing “Regulatory Element” training
  • Conduct annual compliance meeting on-site for all Reps

Foreside also provides compensation-related licensing services. Foreside can:

  • Manage the flow of transaction-based compensation through Foreside to the Reps
  • Provide due diligence review of a transaction related to supervisory principal oversight
  • Maintain financial books and records related to transaction-based compensation

For a summary of Foreside’s Business Continuity Plan, please click here.