Deer Valley Securities™ Inc. is a private equity brokerage firm. We offer services related to Mergers and Acquisitions including valuations, fairness opinions, divestitures & other restructurings.
We have extensive knowledge of the both the financial services industry and also the financial technology industry. We can match two firms that strategically complement each other.
Are you buying or selling a broker dealer? We have been through the post transaction filings of Rule 1017 and the Continuing Membership Application. We can help you structure a transaction that will not only achieve a premium valuation but also withstand the regulatory scrutiny of the SEC and FINRA in a CMA application.
Franchisors and Franshisees
We also have considerable experience in franchising. If you are a franchisor in many cases we recommend spinning off under performing corporate own franchises. If you are looking to purchase a franchise, we can help with the due diligence and capital requirements.
Excerpt From FINRA
Continuing Membership Guide
FINRA requires firms to file a continuing membership application (CMA) whenever they seek to expand their operations. FINRA requires firms to file a CMA when they sell the broker dealer Rule 1017(a). Firms also must file an application whenever they seek to modify or remove restrictions previously imposed in a membership agreement (MAC).
FINRA determines whether to approve, deny or approve with restrictions all such applications in accordance with the procedures in Rule 1017. In these applications, the overriding consideration is an applicant’s ability to continue to meet the standards for membership contained in NASD Rule 1014 (Department Decision).
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