What's included
New membership (Rule 1013)
Business plan, written supervisory procedures, financial projections, net capital planning and Form BD.
Pre-membership interview
Preparation for, and attendance at, the pre-membership interview.
Continuing membership (Rule 1017)
Applications for ownership changes, mergers, acquisitions and material changes in business.
Structure & tax
Advice on structuring the new or combined firm and its tax implications.
Procedures for the new business
Supervisory procedures updated for new lines of business, branches or the combined firm.
After approval
We stay on to run compliance, FINOP and operations once you are approved.
Why firms choose RND
Senior attention
You work directly with principals who have been in the securities industry since 1985, not a rotating junior team.
Formation through operations
The same team that writes your application can run your compliance and FINOP afterward.
A CPA on your books
Debasish Banerjee is a Certified Public Accountant with four decades of broker-dealer accounting and financial reporting.
Supervised AI, human review
AI agents track rule changes and deadlines and prepare first drafts; an experienced professional reviews every output, consistent with FINRA Regulatory Notice 24-09.
How we work
1. Discovery call
A no-cost conversation about your business model, your regulators and what's due next.
2. Gap assessment
We review your procedures, books and records, filings and exam history against current rules.
3. Build the program
Policies, calendar and set-up sized to your firm, priced up front.
4. Ongoing oversight
Due-date alerts, filings, annual reviews and a senior professional on call when regulators ask.
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Questions firms ask
Do you help start a new broker-dealer?
We handle the full new membership application (business plan, WSPs, financial projections, net capital planning, Form BD and preparation for the pre-membership interview) and then stay on to run compliance and operations once you're approved.
We're buying (or selling) a broker-dealer. Where do you fit?
Ownership changes usually require a continuing membership application under FINRA Rule 1017. We prepare it, advise on structure and tax implications, and update supervisory procedures for the combined business.
Planning a new firm or an ownership change?
Talk with Debasish Banerjee, CPA, in the securities industry since 1985. A principal replies within one business day.
Talk about your application →General information, not legal advice. RND Resources, Inc. is a business consulting firm, not a CPA firm or law firm, and is not affiliated with FINRA or the SEC.