Regulatory Framework

FirstEurope is a member of Finalis Securities LLC, a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) and a member of the Financial Industry Regulatory Authority (FINRA), the principal self-regulatory organization overseeing broker-dealers under federal law. FINRA operates under the supervision of the SEC and enforces rules designed to ensure market integrity and investor protection.

Finalis Securities LLC is part of Finalis, the leading AI-powered platform for private capital markets. The platform provides embedded regulatory infrastructure and workflow automation to more than 750 investment bankers, supporting over 1,700 active transactions and enabling $20 billion+ in closed deal volume. Finalis is ranked among the top investment banking platforms in the U.S. by deal activity and has become one of the fastest-growing platforms globally.

Through its affiliation with Finalis, FirstEurope benefits from a fully compliant, cloud-native platform that streamlines deal execution. Through Finalis, FirstEurope can collaborate with any of the 750+ professionals in the Finalis network or structure alliances with outside bankers or brokers when needed. This flexibility allows FirstEurope to engage specialized partners across sectors and geographies, tailoring each deal to fit specific industry needs and investor priorities.

These collaborative capabilities enhance FirstEurope’s ability to match clients with strategic investors, unlock sector-driven growth opportunities, and accelerate international expansion. By leveraging Finalis’ technology and regulatory infrastructure, FirstEurope can deliver compliant, efficient, and high-impact outcomes for its clients in today’s fast-evolving private capital markets.