www.rrscompliance.com
Open in
urlscan Pro
72.4.129.164
Public Scan
Submitted URL: http://www.rrscompliance.com/
Effective URL: https://www.rrscompliance.com/wp/
Submission: On September 14 via api from US — Scanned from DE
Effective URL: https://www.rrscompliance.com/wp/
Submission: On September 14 via api from US — Scanned from DE
Form analysis
1 forms found in the DOMGET https://www.rrscompliance.com/wp/
<form method="get" action="https://www.rrscompliance.com/wp/">
<input type="text" name="s" class="input-search"><input type="submit" value="GO" id="submit">
</form>
Text Content
* Home * About * Sample Engagements * FAQs * Our Consultants * Louis Dempsey * Bart J. McDonald * John E. Pinto * Lisa M. Paygane * Jerome Jordan * Leeza Lucas * Jennifer Selliers * Services * Broker-Dealer Services * Compliance Examination & Testing * Compliance Program, Policies & Procedure Development * Business Planning & Registration Services * Financial Reporting & Bookkeeping * Compliance Support Services * Investment Advisor Services * Compliance Examination & Testing * Compliance Program Policy & Procedure Development * Business Planning & Registration Services * Financial Reporting & Bookkeeping * Compliance Support Services * Fact Sheets * News * Regulatory Calendar * Industry Links * Contact Us * Client Center Navigate to... Home About –Sample Engagements –FAQs –Our Consultants ––Louis Dempsey ––Bart J. McDonald ––John E. Pinto ––Lisa M. Paygane ––Jerome Jordan ––Leeza Lucas ––Jennifer Selliers Services –Broker-Dealer Services ––Compliance Examination & Testing ––Compliance Program, Policies & Procedure Development ––Business Planning & Registration Services ––Financial Reporting & Bookkeeping ––Compliance Support Services –Investment Advisor Services ––Compliance Examination & Testing ––Compliance Program Policy & Procedure Development ––Business Planning & Registration Services ––Financial Reporting & Bookkeeping ––Compliance Support Services Fact Sheets News Regulatory Calendar Industry Links Contact Us –Client Center * EXPERIENCE The RRS team possesses 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.... Read more * 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... Read more * 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... Read more * 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... Read more All Services SEC NEWS * SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law September 13, 2022 * SEC Charges VMware with Misleading Investors by Obscuring Financial Performance September 12, 2022 * SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability September 12, 2022 * SEC Division of Corporation Finance to Add Industry Offices Focused on Crypto Assets and Industrial Applications and Services September 9, 2022 * SEC Adopts JOBS Act Inflation Adjustments September 9, 2022 FINRA NEWS * FINRA Appoints Michael Solomon Senior Vice President of Examinations September 14, 2022 * FINRA Publishes Independent Counsel’s Report on Arbitrator Selection Process September 14, 2022 * FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations September 14, 2022 * National Study by FINRA Foundation Finds U.S. Adults’ Financial Capability Has Generally Grown Despite Pandemic Disruption September 14, 2022 * FINRA Bars Two Individuals for Cheating on Online Qualification Exams September 14, 2022 SUPERVISORY CONTROLS LINKEDIN CONTACT INFO RENAISSANCE REGULATORY SERVICES, INC. 625 SE 10th Street Deerfield Beach, FL 33441 Tel: (561) 368-2245 Fax: (561) 807-5442 info@rrscompliance.com * Home * Services * Contact Us © 2022 Renaissance Regulatory Services, Inc.