Welcome to RND Resources Inc your Regulatory Compliance Experts

RND Resources specializes in FINRA and SEC consulting, compliance, and remediation for broker-dealers, ria firms, fund managers, and related financial industry firms. We’re committed to providing expertise in compliance matters such as; consulting for start-up firms, resolving regulatory actions, audit and exam preparation, cybersecurity controls, on-going compliance administration, and much more.

Our breadth of experience is vast, as we’ve been serving financial firms over 30 years and have worked nationally with a number of business models:

SEC FINRA filing deadlines

See “Resource Guides” in Blog & Resources

Regulatory Compliance Solutions for

  • Broker-Dealers
  • Registered Investment Advisory Firms
  • Municipal Advisors and Brokers
  • Hedge Fund Managers
  • Private Equity & Private Placement Entities
  • Commodity Trade Advisors, Futures Commission Merchants, Insurance Companies, Investment Banks, Fintech Startups, and many others.

Integrated Compliance

RND’s expertise is founded on customized compliance solutions that integrate business planning, compliance, operations, trading, and registration into one coordinated program.

Suite of Services

As a full service regulatory consulting firm we’re capable of handling remediation, audit, accounting, and compliance needs from start-up through on-going monthly support.


Since 1984, RND Resources has been a regulatory compliance consulting services leader to financial industry firms. We’re proud of our expertise in regulatory matters and measure success in how we help you grow.

Client Testimonials

Satisfied clients will tell you we are capable of handling complex compliance and remediation matters with diligence and expertise; while our professional service, guidance, and quality takes the stress out of everyday challenges.

Emerging Technology Solutions

We assist BD, RIA, and start-up firms with Fin-tech strategy, Reg-tech data-driven compliance, emerging technology like Blockchains and distributed ledgers, and Cybersecurity policies.

Integrated Compliance that fits today’s technology and regulatory challenges.


Contact Us for more information about how we can support your firm with regulatory compliance, audit, and consulting services.

CyberSecurity Brochure RND

Learn more – RND Resources Cybersecurity Plan Brochure

Compliance consulting for start-up fintech

Click here to learn about Fintech consulting for BD & RIA, and start-up firms

Dave Banerjee CPA | District 2 Committee

Dave Banerjee CPA is honored to serve on FINRA district 2 committee during 2017 thru 2019

FINRA Compliance