Why RND Resources

Since 1984, RND Resources has been a leader in providing skilled consulting services to the securities industry. We offer comprehensive hands-on consulting services in FINRA compliance, SEC compliance, regulatory audits, broker-dealer and RIA registration, back-office and accounting. Just keeping up with the complex and ever changing FINRA rules can easily become a full-time job; an arduous task most busy financial professionals do not have time to undertake. By taking advantage of our expertise in regulatory compliance, busy clients are able to dedicate themselves to other aspects of their business such as building clientele.

RND Resources team of experts work with broker-dealers, registered investment advisers (RIAs), futures commodity merchants (FCM), banks, hedge funds, private equity groups, insurance companies, municipal dealers, fintech service providers, and many other types of financial service firms. Whether you’re starting a new practice and need help with strategy, formation, and member application; or have an established firm and are looking for a better approach, or simply have questions about FINRA rules, RND Resources can offer practical solutions. 

New clients are professionally on-boarded starting with an introduction to our skilled RND Resources consulting team who conducts a thorough diagnostic evaluation of your firm.  Based on their analysis they develop and implement practical solutions to bring you up-to-date with the most current financial industry regulations, compliance, and audits standards.

RND Resources is dedicated to providing quality consulting services to clients and delivering service in the most timely and cost-effective way possible. Our knowledgeable and experienced RND Resources team has been committed to providing high quality services to the securities industry for over 30 years.  We pride ourselves in our ability to not only provide the highest level of service for regulatory compliance expertise, but also in building long-lasting, successful partnerships with our highly valued clients.

We look forward to working with you soon. Contact us

More about RND Resources…

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RND Resources Services

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Sentry Compliance Software

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