FINRA & SEC Regulatory Compliance Experts

Broker Dealer & RIA Compliance Services

Actionable guidance for the most complex challenges.

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.

Focus Areas

Broker Dealer Member Applications NMA/CMA

Whether you are starting from scratch, adding new product lines, merging with another firm, or you were recently purchased and need a fresh start, we can help. RND can assist FINRA Membership Application and State Registration for New or Changing Brokerage Firms with a tailored program to meet your needs. We provide comprehensive support for New Member Registrations (NMA); Change Member Registrations (CMA); Multi-state registrations; as well as outsourced FinOp and CCO services as needed.

Back Office Administration Services

Outsourced administrator services save broker firms the cost of staff and overhead expenses while helping avoid regulatory penalties, accounting errors, and compliance mistakes.

Broker Dealer Audits, Exams and Reviews

Our team of experts provide critical compliance, audit, exams, and review support to broker dealers, registered investment advisory companies, hedge funds and private equity fund managers. Let us handle your compliance alerts, deficiency letters, formal inquiries, enforcement proceedings, requests for information, sweeps, and more.

Regulatory Consulting Services

RND provides critical functions to ensure your firm is capable of meeting all compliance and regulatory obligations. We can also help respond effectively when you are under scrutiny of an SRO authority (i.e. FINRA, SEC, MSRB).

Outsourced FinOp Services

RND offers a complete suite of FinOp services that can be customized to meet your firms needs. Our services are scalable and vertically-integrated provide business planning, compliance, operations, trading, and registration services.

Outsourced Compliance Operations

Access a complete range of regulatory compliance expertise and ongoing compliance monitoring. Compliance Outsourcing is a scalable option for broker dealers who wish to streamline compliance operations and controlling costs. We offer a full-suite of professional services and can customize to meet your specific needs.

Regulatory Risk Management and Compliance Services

The RND team is PCAOB/CPA certified to conduct required broker dealer audits and can conduct them efficiently and at a lower cost than large PCAOB accounting firms.