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 guide your firm through any registration process.
Initial SEC, FINRA and State Applications – Leveraging our regulatory expertise, we guide your firm through the application process. This includes organization and start-up counseling, assistance with registration filings through the Central Registration Depository (CRD), professional preparation of Form BD, creation of written supervisory procedures, business plan, basic books and records, we will handle all filing and follow-up with the regulators.
State Applications – RRS’ has the expertise with the myriad of state registration requirements for firms and individuals to file and monitor state applications in a prompt and efficient manner.
Renewals & Amendments – RRS can assist firm with annual registration renewals and ongoing Form BD and U-4 registration requirements.
CRD Training – RRS can train your staff on the multiple features of Web CRD.