Ryan Smith
Because broker-dealers and RIAs want to serve clients, not regulators.
You are your broker-dealer’s or registered investment adviser’s Chief Compliance Officer. You might even be your firm’s entire Compliance Department. It is a tremendous responsibility. The SEC, FINRA and the state regulators have placed significant demands on our industry.
You need to help your firm discharge its current obligations and implement the new ones. It makes you feel at times that you are trying to boil away the ocean.
Your regulator has just contacted your firm for whatever reason and seeks documents and additional information. You are concerned about what this means and what might happen next.
An angry client has just brought an arbitration claim against your firm. You need to defend it.
What do you do?
I have been there. In fact, I still am. I offer solutions to broker-dealers, registered investment advisers, and their associates to help them meet their regulatory obligations. Not only do I offer these solutions, I also use them in my own practice. In other words, I eat my own cooking. Contact me if you or your firm:
= Have to defend a FINRA, SEC or state regulatory exam or investigation;
= Need to test or enhance your supervisory procedures or systems to respond to regulatory developments;
= Have any sort of regulatory reporting obligations, including to the Consolidated Audit Trail (CAT);
= Are contemplating commencing, or currently defending, an arbitration claim before FINRA Dispute Resolution;
= Seek to expunge matters from your record on the Central Registration Depository (CRD);
= Need a Chief Compliance Officer (I have an active Series 24); and/or
= Are facing any other legal or compliance issue affecting broker-dealers, registered investment advisers and your associates.
- Securities Law
- District of Columbia
- District of Columbia Bar
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- Maryland
- Supreme Court of Maryland
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- Virginia
- Virginia State Bar
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- University of Maryland - College Park
- B.S.
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- George Mason University School of Law
- J.D.
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- Compliance Considerations for Spot Cryptocurrency ETFs
- National Society of Compliance Professionals
- Obvious Facts and Bad Company
- National Society of Compliance Professionals
- Two Cents on the 2023 FINRA Report
- National Society of Compliance Professionals
- A Strategy For Creating an Effective CAT Compliance Program
- National Society of Compliance Professionals
- SEC & FINRA Compliance - Cybersecurity Decoded, Webinar
- Kaufman Rossin
- This was a live panel discussion to share observations, themes, and key takeaways from FINRA’s 2024 Cybersecurity Conference, commentary on proposed rules still on the horizon and what firms should be doing today to help protect their organizations.
- Equity Markets & Order Handling Considerations, National Society of Compliance Professionals' 2023 National Conference
- National Society of Compliance Professionals
- This was a live panel at the National Society of Compliance Professionals' 2023 National Conference in which we discussed how the equity markets are structured, including its various market participants (exchanges, alternative trading systems and wholesalers) and explored recent SEC rulemaking pertaining to equity market structure.
- Wealth Compliance Leaders, webinar
- InvestorCOM
- It was my pleasure to spend some time on camera with Parham Nasseri, CFA for another installment of InvestorCOM Inc.‘s “Wealth Compliance Leaders” series. It is now available on YouTube at https://www.youtube.com/watch?v=2r_KT0KtfpY.
- Top 10 Best Compliance Tips for Broker-Dealers and RIAs, webinar
- Independent Broker-Dealer Alliance
- A live panel of IBDC Alliance members sharing the tips to put into action in an effort to avoid costly litigation.
- Corporation Finance Training, North American Securities Administrators Association's Corporation Finance Training, Houston, Texas
- NASAA
- Presented at the "FINRA Update" and "Advertising for Financial Products" panels at the North American Securities Administrators Association's Corporation Finance Training in Houston, Texas.
- Series 7 and 24
- FINRA
- Website
- Ryan P. Smith Law, PLC
