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
- SEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm March 6, 2014
- SEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter March 5, 2014
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- Fee Rate Advisory #4 for Fiscal Year 2014 February 28, 2014
- SEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme February 25, 2014
- FINRA’s Statement on PIABA’s Public Disclosure Study March 6, 2014
- FINRA Foundation Military Spouse Fellowship Application Period Open From March 3 – April 18 March 3, 2014
- FINRA Fines Berthel Fisher and Affiliate, Securities Management & Research, $775,000 for Supervisory Failures Related to Sales of Non-Traded REITs and Leveraged and Inverse ETFs February 24, 2014
- FINRA Board Approves Rule Prohibiting Conditioning Settlements of Customer Disputes on a Customer’s Agreement Not to Oppose Expungement February 13, 2014
- Remarks by Richard Ketchum From the NACUBO 2014 Endowment and Debt Management Forum February 6, 2014
- FINRA Sanctions Firms and Individuals for Inadequate Anti-Money Laundering Programs
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- Welcome to our new Website!