FINRA & SEC Regulatory Compliance Experts
Welcome to RND Compliance

Actionable Guidance for Complex Regulatory Challenges

Work with the experts at RND Compliance to conquer the complexities of FINRA and SEC regulations and focus on what you do best.

Broker Dealer & RIA Solutions

Whether you’re a start-up or established firm, work with RND Compliance for integrated solutions to solve your most complex challenges including regulatory action resolution, audit and exam preparation, on-going compliance administration, and more.

FinOp & Accounting Services

An effective Financial Operations Principal role is critical in running a compliant firm. RND Compliance operates as an extension of your financial team; staying ahead of changes to regulatory requirements and ensuring peace of mind for that next audit. Our experts can register as your FinOp or file FOCUS and SSOI filings on your behalf.

FINRA Membership & RIA Registration

RND has deep experience in registering broker-dealers and RIAs – the right way. We start your firm off on the right foot by working closely with the regulators to obtain the approvals needed to conduct all of your business. Once you’re up and running, we give you the regulatory road map to keep everything running smoothly.

Why Work with RND?


Our experts have over 40 years experience in FINRA and SEC regulatory and compliance and stay ahead of changes so you don’t have to.


High-speed, efficient turnaround on your requirements.


Ability to work onsite as an extension of your team or fulfill specific compliance and regulatory needs.

Affordable Solutions

Cost-effective and efficient solutions for your business model.

Proven Strategies

Our experts use real-world experience to deliver clear, pragmatic, and actionable solutions to accomplish your business and regulatory goals.

Strategic Partnerships

We partner with the best of the best to ensure the highest level of services.