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Investment Banking Sponsorship and New Securities Testing

FINRA released Regulatory Notice 17-30 which outlines the changes made to registration and qualification requirements for representatives, effective October 1, 2018. The change that is the most relevant to Burch & Company and to prospective representatives… Read More

FINRA- Burch & Company Sponsorship for Registration

FINRA Sponsorship- As a FINRA member firm, Burch & Company regularly receives calls from experienced advisors interested in obtaining a FINRA license which requires sponsorship.  Many of these professionals have an idea of which particular license… Read More

Series 79 Sponsorship / M&A Licensing

As an independent broker-dealer, Burch & Company receives inquiries from professionals who specialize in many different sectors of the financial industry seeking a well reputed firm with whom to associate.  While there are many different types… Read More

Private Equity Regulatory Compliance

The Wall Street Journal recently published an article written by Norm Champ, An Iniquitous Raid on Private Equity, on June 28th, 2016, http://www.wsj.com/articles/an-iniquitous-raid-on-private-equity-1467151510, discussing the Securities and Exchange Commission’s (“SEC”) enforcement action against the private equity firm,… Read More

Minimizing Merger & Acquisition Advisors Compliance Risk

One of the most important events that occurs in the life of a business owner is when they have reached a level of success that allows them to sell their company. This event can be the… Read More

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Latest Blog Posts

Investment Banking Sponsorship and New Securities Testing

FINRA released Regulatory Notice 17-30 which outlines the changes made to registration and qualifica

read more

FINRA- Burch & Company Sponsorship for Registration

FINRA Sponsorship- As a FINRA member firm, Burch & Company regularly receives calls from experie

read more

Series 79 Sponsorship / M&A Licensing

As an independent broker-dealer, Burch & Company receives inquiries from professionals who speci

read more