What's included
SEC registration
Form MA for the firm and Form MA-I for each associated individual.
Supervisory procedures
Customized supervisory policies and procedures under MSRB rules.
Annual reviews
Annual compliance program and supervisory system reviews.
Agreements
Ongoing review of client agreements and compliance documents.
Training
Compliance education and employee training.
Exam readiness
Preparation for SEC examinations and document requests.
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.
Municipal securities experience
Dave holds the Series 52 Municipal Securities Representative and Series 53 Municipal Securities Principal qualifications.
Fiduciary focus
Procedures built around the fiduciary duty municipal advisors owe their municipal entity clients.
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
Who has to register as a municipal advisor?
Firms and individuals that advise municipal entities or obligated persons on municipal financial products or the issuance of municipal securities generally must register with the SEC and the MSRB, unless an exclusion or exemption applies.
Do you help after registration?
Yes. We provide supervisory procedures, annual compliance reviews, agreement reviews and staff training.
Registering or supervising a municipal advisor?
Talk with Debasish Banerjee, CPA, in the securities industry since 1985. A principal replies within one business day.
Talk about MA registration →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.