Securities Industry Guides for Broker-Dealers, Registered Investment Advisers, Fund Managers, Municipal Securities Traders, and other securities firms. 


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Need help with a compliance matter or audit, call us at (818) 657-0288

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RND Resources Inc – Compliance consulting and audit support for securities industry firms. We employee veteran CPA’s, MBA’s, and FINRA examiners to assist with your firms compliance needs. RND Resources offers a full suite of services to integrate business planning, compliance, operations, trading, and registration. Customize our services to fit your needs.

  • Full Service Brokerage Support
  • On-Site Audit Services
  • Expert Regulatory Consulting
  • Customized Compliance Programs