FINRA & SEC Regulatory Compliance Experts

FinOp & Accounting Services

Leave it to the FinOp & Accounting Experts at RND

When you outsource your Financial Operations Principal role with RND, you get a team of experienced and licensed industry experts with critical expertise in running a compliant firm and comprehensive accounting expertise. 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.

RND Resources can be your representative to fulfill various financial management and regulatory compliance related roles including; FinOp, Chief Financial Officer, and Chief Compliance Officer.

As your FinOp we stay on top of changes to regulatory requirements impacting broker-dealers and financial institutions, and consider regulatory compliance as a critical component in fulfilling the Financial and Operations Principal role.

RND Resources Inc offers a complete suite of FinOp services that can be customized to meet your firms needs. Our services are scale-able and vertically integrated to meet the goals of business planning, compliance, operations, trading, and registration.

Comprehensive Broker Dealer FinOp & Accounting Services

  • Registration as FinOp using our series 27 license – Financial and Operations Principal
  • FOCUS Report – Net capital computations and compliance
  • Supplemental Statement of Other Income, SSOI
  • Form Custody Reports
  • SIPC 6 & SIPC 7 Filings – SIPC annual and semi-annual reporting
  • Focus Schedule I
  • Non-Allowable Asset Schedule
  • Schedule of Aggregate Indebtedness AI
  • Hair Cut Analysis and Computation
  • FINRA Annual NASD Assessment Report
  • FINRA Financial Notifications
  • Act as primary contact for regulator inquiries regarding financial reporting
  • Hard copy submissions where required

Get all the benefits of a qualified and experienced FinOp for less than the cost of hiring a senior-level employee.

The cost of hiring a qualified salaried FinOp is growing at a fast pace as firms compete for a limited number of suitable candidates with the necessary knowledge and expertise. Small and mid-sized firms bear the greatest burden because they cannot afford salaries and opportunities offered by larger organizations. However, while the salaries of FinOps are increasing, the work involved in handling FinOp responsibilities is often still part-time for most small to mid-sized firms.

When weighing all the factors, outsourcing FinOp is a good strategy because it allows your firm to concentrate on building client accounts and adding new services, while financial responsibilities are kept in check. Outsourcing to a compliance support firm staffed with an industry CPA who has expertise in brokerage and regulatory compliance is an added bonus that provides your firm a relationship with veteran risk management and professional compliance solutions.

RND Resources Inc has the experience and credentials necessary to provide quality FINOP services like CPA compilation reports including FOCUS filing and FINRA regulatory reporting for broker-dealers on an outsourced basis. Our team can support your brokerage firm with on site support or work remotely from our office, with your auditors, to complete audit tasks on time. We’ll create a prepackaged monthly plan for you on a fixed fee basis or customize a program that fits your needs perfectly.

Benefit from a FinOp who is also a Certified Public Accountant

FINRA rule 1022 requires each FINRA member firm to designate a Financial and Operations Principal, who often also performs CFO responsibilities. The FinOP must qualify by passing the Series 27/28 exam before their registration is effective. They are not required to be a Certified Public Accountant, however CPA certification is crucial to being a successful Financial Operations Principal given the many risks, complexities, and constant changes in the regulatory environment. A licensed CPA with expertise in securities is well-equipped to handle regulatory accounting requirements, financial reporting, and meet with FINRA regulators as necessary which are all important responsibilities of the FinOp.

The professionals at RND hold a variety of registered principal level licenses that meet the needs of securities industry firms:

Series 4 – Registered Options Principal

Series 24 – General Securities Principal

Series 27 – Financial and Operations Principal

Series 53 – Municipal Securities Principal

Series 79 – Investment Banking Representative

Series 99 – Operations Professional

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?


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.