Broker-Dealer Services
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Service Overview

Broker Dealer
Compliance Examination & Testing
Compliance Program Policy & Procedure Development
Business Planning & Registration Services
Financial Reporting & Bookkeeping
Compliance Support Services

 

Investment Adviser
International

 

Whether your firm is a full service or limited broker-dealer, RRS can provide the expertise and support to meet or exceed your firm's regulatory requirements. RRS offers support through a suite of services from initial business planning to the creation and implementation of compliance and risk management programs. Leverage our regulatory and compliance expertise to build and support a compliance program for your firm that meets or exceeds your regulatory requirements.