Whether you are an investment adviser, private fund adviser (hedge fund, private equity fund, or BDC) investment company, or looking to become one, RRS can provide the expertise and support necessary to satisfy or exceed your firm’s regulatory requirements under the Investment Adviser’s Act of 1940 (“Advisers Act”), Investment Company Act of 1940 (“Company Act”) and applicable state regulations. [More]
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. [More]
RRS strives to provide clients with prompt professional support for virtually any SEC, FINRA, or State regulatory needs. We support broker-dealers, investment advisers, hedge funds, and investment companies. [More]
Broker-dealers and investment advisers are increasingly under pressure to conduct comprehensive reviews and assessments of their operations, policies, procedures and internal controls and to document those reviews. RRS tailors its audit programs to meet your firm’s needs and the requirements of the SEC, FINRA/NASD and NYSE Rules....Read more
RRS provides customized ongoing compliance support services that include prompt response to your compliance issues through onsite meetings, telephone and e-mail. Whether you need answers to general questions, registration or filing assistance, help amending policies and procedures, or assistance with internal inspections, RRS can customize a solution to...Read more
Well documented written policies and procedures form the foundation for a sound Compliance Program. Rapid changes in regulations, products and services necessitate frequent updates to written policies and procedures manuals. RRS will work with you (on or off site) to understand your firm’s investment philosophy...Read more
RRS’ staff has over 15 years of experience dealing with state and federal registration, licensing, and filing issues, and have participated in the registration of hundreds of Broker-Dealers with the SEC, FINRA, MSRB and the states. Whatever your registration needs, RRS has the experience to...Read more
- Agencies Issue Final Rules Implementing the Volcker Rule December 10, 2013
- SEC Names Sebastian Gomez Abero to Head Office of Small Business Policy in the Division of Corporation Finance December 9, 2013
- SEC Halts Texas-Based Oil and Gas Investment Scheme December 6, 2013
- SEC Charges Fifth Third Bancorp and Former CFO for Improper Accounting of Substantial Loan Losses During Financial Crisis December 4, 2013
- SEC Charges Miami-Based Trader With Insider Trading and Short Selling Violations December 3, 2013
- FINRA Fines Oppenheimer $675,000 and Orders Restitution of More Than $246,000 for Charging Unfair Prices in Municipal Securities Transactions and for Supervisory Violations December 9, 2013
- FINRA Orders J.P. Turner to Pay More Than $700,000 in Restitution for Unsuitable Sales of Leveraged and Inverse ETFs and for Excessive Mutual Fund Switching December 5, 2013
- FINRA Foundation Releases Military Financial Capability Survey December 3, 2013
- FINRA Bars Two Brokers for Stealing $300,000 From Elderly Widow With Diminished Mental Capacity December 3, 2013
- FINRA Names Mike Rufino Head of Member Regulation – Sales Practice, and Bill Wollman Head of Member Regulation – Risk Oversight and Operational Regulation (ROOR) November 14, 2013
- FINRA Sanctions Firms and Individuals for Inadequate Anti-Money Laundering Programs
- FINRA’s New Muscle – Amended Rule 8210
- Renaissance Regulatory Services Announces New FINRA Advertising Compliance Support Services!
- How are broker-dealers complying with the FINRA Suitability Rule?
- Welcome to our new Website!