FINRA & SEC Regulatory Compliance Experts

Who We Serve

from the firm to the financial professional

RND serves all levels of the financial services industry, including:

  • Broker Dealers
  • Registered Investment Advisers
  • Fund Managers
  • OSJs
  • Branch Offices
  • Registered Representatives
  • Investment Adviser Representatives
  • Spouses of deceased Registered Representatives
  • Investment Adviser Representatives
  • All firm staff

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.