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Last updated: September 26, 2011

 

/ 20 pages
Renaissance: Home
Renaissance: Services
Renaissance: About Us
Renaissance: Contact Us
Renaissance: Links
Renaissance: Fact Sheets
Renaissance: Calendar
Renaissance: Calendar Year
Renaissance: Broker Dealer Services
Renaissance: Investment Adviser Services
Renaissance: Louis Dempsey
Renaissance: Bart McDonald
Renaissance: John Pinto
Renaissance: RIck White
Renaissance: Harry Chaffee
Renaissance: Lisa Paygane
Renaissance: Rayma Rosado
Renaissance: Kyle Boulton
Renaissance: News
Renaissance: Career

 

Career/ 2 pages
  Renaissance: Regulatory Consultant
  Renaissance: Registration Associate

 

BD/ 14 pages
  Renaissance: BD Compliance Examination & Testing
  Renaissance: BD Compliance Program Policies & Procedure Development
  Renaissance: BD Business Planning & Registration Services
  Renaissance: BD Financial Reporting & Bookkeeping
  Renaissance: BD Compliance Support Services
  divider
  Fact Sheet - Annual Anti Money Laudering
  Fact Sheet - Branch Office Compliance
  Fact Sheet -Compliance Administrator with Chart
  Fact Sheet -Fixed Income
  Fact Sheet - General Services
  Fact Sheet - Initial Registration Services
  Fact Sheet -Supervisory Controls
  Fact Sheet -TMMS Review
  Fact Sheet -Trade Reporting Compliance Review

 

RIA/ 12 pages
  Renaissance: RIA Compliance Examination & Testing
  Renaissance: RIA Compliance Program Policy & Procedure Development
  Renaissance: RIA Business Planning & Registration Services
  Renaissance: RIA Financial Reporting & Bookkeeping
  Renaissance: RIA Compliance Support Services
  Renaissance: RIA Transition from SEC to State
  divider
  Fact Sheet -Advertising
  Fact Sheet -Compliance Administrator Program with Chart
  Fact Sheet -Compliance Program Review
  Fact Sheet -General Services
  Fact Sheet -Initial Registration Services
  Fact Sheet - Switch from SEC to State
   

 

BooksRecords/ 1 pages
  Fact Sheet -Financial Reporting

 

other_services/ 3 pages
  Fact Sheet - Due Diligence
  Fact Sheet - Securities Lawyers
  Fact Sheet - BD and IA General Services
   

 

RCU/ 41 pages
  January
    2011 2010 2009
     
  February
    2011 2010 2009
     
  March
    2011 2010 2009
     
  April
    2011 2010 2009 2008
     
  May
    2011 2010 2009 2008
   
  June
    2011 2010 2009 2008
   
  July
    2011 2010 2009 2008
   
  August
    2011 2010 2009 2008
   
  September
    2010 2009 2008
   
  October
    2010 2009 2008
   
  November
    2010 2009 2008
   
  December
    2010 2009 2008
   

 

News/ 10 pages
  2010 Year End Letter
  The March 29, 2010 BDW article - Lou Dempsey
  Security and Compliance Issues Slow Businesses from Embracing Social Media Sites - Harry Chaffee
  Summertime is Here - Compliance Can Keep You Cool
  Your No 4 Duty - Being All Over Compliance Issues That Arise
  Strategies for Conquering the Task Ahead
  Significant Rule Changes Materially Affect FINRA Members
  Business Continuity Plan Overview
  News Release - "Rick White joins Renaissance Regulatory Services"
  "SEC vs State Registration of Investment Advisers" by Rick White
  SEC vs State Comparison
  SEC vs State Timeline