• Experience

    The RRS team possess extensive compliance and operational experience with SEC, FINRA, and state rules and regulations necessary to address virtually any compliance issue.

  • Compliance Solutions

    RRS provides comprehensive SEC, FINRA and State compliance and operational consulting and compliance support to asset managers and broker-dealers.

  • Manage Through Change

    RRS provides the insight and expertise to help your firm keep up with rapid changes in your business, regulations, and the industry.

Investment Advisers

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]

Broker-Dealers

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]

Mission Statement

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]

Our Services

  • Compliance Examination & Testing

    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....
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  • Compliance Support Services

    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...
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  • Compliance Program Policy & Procedure Development

    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...
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  • Business Planning & Registration Services

    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...
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All Services