Broker-Dealer 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. In fact, RRS provides multiple levels of service designed to meet or…

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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 guide your firm through any registration process…

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Compliance Program, Policies & Procedure Development

RRS provides the experience necessary to ensure that your firm’s compliance program is adequately designed to meet and exceed regulatory requirements. RRS’ consultants will assess your firm’s prospective or current business operations and develop written supervisory policies and procedures that are tailored to your business model…

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Compliance Support Services

RRS provides broker-dealers 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 provide you with the ultimate flexibility…

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Financial Reporting & Bookkeeping

RRS provides a full range of services to assist broker-dealers and their FINOPs with financial statement preparation, net capital computation, regulatory filings, and surveillance. We have the expertise and tools necessary to ensure that your financial statements, net capital, and FOCUS filings are prepared accurately, filed on time, and meet the requirements of SEC Rule 15c3-1…

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