Securities firm, ARC Group, Granted Underwriting Permit
In a significant development, ARC Group Securities LLC, a subsidiary of ARC Group, has secured approval from FINRA to operate as a registered underwriting broker-dealer in the United States. This approval marks a pivotal step forward in the ongoing expansion of ARC Securities' global capital markets capabilities 15.
This new status does not affect ARC Group's leadership in cross-border M&A, IPO advisory, SPAC transactions, and strategic consulting. However, it does expand ARC Group's global reach and strengthens its role as a key intermediary facilitating capital market transactions 1.
ARC Securities can now directly engage in U.S. securities transactions, including acting as an underwriter for IPOs and other public offerings. This move positions ARC Securities to better serve clients seeking access to U.S. capital markets 2.
Ian Hanna, CEO at ARC Securities, stated that this approval is a significant development for the company and its broader capital markets strategy. He further mentioned that adding firm commitment underwriting to their broker-dealer license underscores their dedication to regulatory excellence and operational integrity 4.
The expanded broker-dealer license increases ARC Securities' ability to deliver cross-border transaction expertise and tailored capital markets solutions across Asia, Europe, and other key markets. This development enables ARC to offer an integrated end-to-end platform that facilitates cross-border capital access, particularly bridging Asian firms with Western investors and U.S. capital markets 15.
Key expanded capabilities and developments include:
- Underwriting IPOs and Public Offerings in the U.S.: ARC can now directly manage and underwrite initial public offerings and other public securities offerings in the U.S., a step up from advisory-only services 1.
- Navigating U.S. Regulatory Complexities: The underwriting license equips ARC to assist companies with the evolving regulatory environment in the U.S., including navigating Nasdaq's 2025 regulatory changes affecting RTOs (reverse takeovers) and de-SPAC transactions, critical for mid-market companies operating in volatile markets 1.
- Strengthened Cross-Border Capital Flows: The license strengthens ARC’s role as a key intermediary facilitating capital market transactions and M&A with over $10 billion experience, particularly between Asia and Western markets 1.
- Broadened Product Offering: By adding underwriting capabilities, ARC now offers a full spectrum of capital markets solutions – from advisory to underwriting to institutional investor placement – supporting seamless U.S. listings for growth-oriented companies 15.
- Enhanced Investor Confidence: The expanded U.S. presence with registered underwriting status boosts investor trust in ARC’s ability to manage complex cross-border deals and emerging market exposures 1.
Thus, ARC Group Securities' U.S. underwriting broker-dealer registration marks a strategic milestone expanding its services from advisory to full underwriting, enabling deeper integration into U.S. capital markets and catalyzing growth opportunities for Asian and mid-market firms seeking U.S. listings and capital access 15.
ARC Group has offices across major financial hubs. For more information on ARC Group, visit www.arc-group.com. (This fact is not a standalone fact as it is an advertisement.)
- The approval for ARC Securities to operate as a registered underwriting broker-dealer in the United States will enable them to underwrite IPOs and other public securities offerings, expanding their services from advisory to full underwriting.
- With the expanded broker-dealer license, ARC Securities can now better serve clients seeking access to U.S. capital markets, broadening their product offering to include a full spectrum of capital markets solutions.
