As-Needed Services
We're here whenever you need us
In addition to our comprehensive engagements, RND offers as-needed services to all industry participants, from the firm to the financial professional.
RND can provide as-needed help with:
- FINRA information requests and examinations
- Employment problems and threatened termination
- Terminated professionals looking for a new firm
- Succession Agreements
- New-Hire Agreements and Representative Affiliations
- Acquisitions and Sales of Firms
- Heightened supervision
- Firm/Office direct management, control, and operations
- General consultation
- Regulatory Remediation
- Cyber Security Breach Response
- Anti-Money Laundering
- 8210 Requests
- Client complaint responses
- Arbitration preparation
- CRD and Form U-4 Filings
- Continuing education
- Rule interpretation and application
- Audit preparation
- Mock audits
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.
Our Services
Why Work with RND?
Experience
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.
Speed
High-speed, efficient turnaround on your requirements.
Flexibility
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
Strategic Partnerships
We partner with the best of the best to ensure the highest level of services.