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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

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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

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