RND Resources IncBrokerage Firm Back Office and Administration

 

Our experienced professionals are committed to providing scalable solutions for firms based on growth, company goals, and emerging trends. We understand complex regulatory requirements and can handle day-to-day tasks as well. We focus on providing professional service without compromising compliance objectives.

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

At RND we’re available to handle administrator services for your firm.  Web CRD requirements, handling daily tasks involving CRD – Central Registration Depository requirements, Continued Education compliance, State Blue Sky registrations, and more are all part of what we do well.

Web CRD Services

  • Administer the firms CRD account
  • Manage representative and firm registration
  • Provide disclosure and attestation notifying of; Private Securities Transactions, Outside Business Activities, Outside Brokerage Accounts, Disclosures to Form U4, Customer Complaints and Arbitration
  • File and amend forms BD, BDW, U4, U5, and related schedules
  • Review State “Blue Sky” Registrations
  • Schedule licensing examinations and procure test preparation study materials
  • Administer “Firm Element” continuing education program and monitor “Regulatory Element”
  • Report Web CRD Account status and Account Balances

Information Technology Solutions

  • Best execution services
  • Email review
  • Review of instant messaging
  • Web based compliance
  • Browser based conferencing
  • Real time web based accounting
  • Private securities transaction monitoring

Additional Administrative Support

See our company brochure for a complete list of services we offer

Back to BD services

 

“Dave has been helping us with our FINRA Compliance and accounting services at a highly professional level from the time we formed our Broker Dealer. He and his firm are the only firm we’ve ever used and have never felt the need to look elsewhere. He is a pro.”

Robert S – August 4, 2011