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Business owners often have the vast majority of their wealth dedicated to the companies they have built their professional lives around. Successful companies come from a labor of love and unique devotion to growing personal wealth through hard work and a commitment to...

2021 was a challenging year for many companies with uncertain economic conditions and an ever-changing regulatory environment. One natural outcome for many businesses and industries was a marked uptick in merger and acquisitions. Global mergers and acquisitions...

FINRA, an acronym for Financial Industry Regulatory Authority, is a non-governmental, independent authority that governs registered brokers and broker/dealer firms in the USA. This body writes and enforces the rules that the securities dealers must abide by. In order...

Compliance is one of the most vital aspects of any business, and simultaneously one of their biggest challenges. Non-compliance has many consequences, ranging from monetary losses to even imprisonment. In fact, in 2020, three major U.S. banks—Goldman Sachs, Wells...

According to research, up to 64% of small businesses struggle financially. Working with a qualified professional is essential if you want to invest your money. A certified broker dealer can help you make wise investment choices and ensure that your money works for...

When it comes to investing, many options are out there. You can go the do-it-yourself route or work with a broker-dealer. But who is a broker-dealer? Broker-dealers are investment companies in buying, selling, and servicing investment products for clients....

The United States is not at a loss for investment agencies - over 17,000 of them are in the country. Yet, there are only a handful of big-name companies you've likely heard of before: Morgan Stanley, Merrill Lynch, Goldman Sachs - the list goes on and on. Since the...

A Series 79 license is also called the Investment Banking Representative Examination (IB). This exam allows individuals to register with FINRA so they can provide advice or facilitate many operations. These operations include mergers, acquisitions, financial...

Mergers and acquisitions are some of the most common corporate actions. There have been about 1,000 merger and acquisition deals in the United States in April and June 2021. Nevertheless, mergers and acquisitions can be very confusing if you're dealing with them for...

What is Private Investment in Public Equity? A PIPE transaction, or private investment in public equity, is the practice of buying shares of publicly traded stock at a price under the CMV (current market value) per share. This is a very common practice among large...