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

RND Resources Inc provides vertically integrated consulting guidance and tools to financial industry firms. Below are links to resource guides developed by leading industry authorities. We’ve also tried to answer common questions about services, products, and business models. Feel free to reach out to us for further assistance.

 

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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