What's included
Written supervisory procedures
WSPs built for your business and kept current as FINRA and SEC rules change.
Email & trade review
Ongoing review of electronic communications and trading, with exceptions documented.
Advertising review
Review of communications with the public under FINRA Rule 2210.
Annual testing & certification
Rule 3120 supervisory control testing and support for the Rule 3130 CEO certification.
Reg BI & Form CRS
Best-interest policies and Form CRS drafting and delivery.
Exam support
Mock exams and hands-on help through FINRA cycle and cause exams and SEC inquiries.
Using AI tools? Our fixed-fee AI Governance Readiness Review adds written AI procedures to your compliance program.
Why firms choose RND
Series 14 and Series 24
Dave holds the Series 14 Compliance Officer and Series 24 General Securities Principal qualifications. See BrokerCheck (CRD# 1555979).
Senior attention
You work directly with principals who have been in the securities industry since 1985, not a rotating junior team.
One coordinated program
FINOP, compliance and accounting under one roof, so your filings, books and procedures agree.
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.
Related articles
- Outsourced Chief Compliance Officer for Broker-Dealers
- Written Supervisory Procedures for Broker-Dealers
- Reg BI Compliance Program Requirements Explained
- FINRA Compliance Consulting: What a Consultant Should Own
Questions firms ask
We just got an exam request letter. Can you help now?
Yes. We regularly step in mid-exam to organize document production, respond to deficiency findings and put remediation in place. Call us as early as you can.
Does outsourcing replace our CCO?
It depends on your firm. We can support your designated CCO or provide day-to-day compliance oversight; your firm remains responsible for supervision under FINRA rules.
Where are your clients located?
We work with securities firms nationwide from our office in Calabasas, California, and we assist UK and EU firms with FCA registration.
Strengthen your compliance program
Talk with Debasish Banerjee, CPA, in the securities industry since 1985. A principal replies within one business day.
Request a compliance proposal →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.