RND Compliance is a leading provider of FINRA and SEC consulting, compliance, and remediation services for broker-dealers, RIA firms, fund managers, and related financial industry firms.
We are compliance experts providing consulting for established and start-up firms, resolving regulatory actions, audit and exam preparation, on-going compliance administration, and much more.
Our breadth of experience is vast, as we’ve been serving financial firms over 40 years and have worked nationally with a number of business models.
RND provides regulatory compliance solutions for:
Trusted by Broker Dealers, Registered Investment Advisors, and Fund Managers for over 40 years. Work with RND for the highest level of customer service and unmatched regulatory compliance expertise.
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.
Cost-effective and efficient solutions for your business model.
We partner with the best of the best to ensure the highest level of services.