FINRA & SEC Regulatory Compliance Experts

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

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.