Ryan P. Smith
Topical Listing of Posts
- Chief Compliance Officer
- Due Diligence
- Digital Assets
- Expungement
- FINRA
- General
- Maintaining Qualifications Program
- Regulatory Reporting
- SEC
- Social Media
- Work-Life Balance
Publications
- “Obvious Facts and Bad Company“, National Society of Compliance Professionals (October 2023)
- “Two Cents on the FINRA 2023 Report“, National Society of Compliance Professionals (February 2023)
- “A Strategy for Creating an Effective CAT Compliance Program“, National Society of Compliance Professionals (May 2022)
- Regulatory Notice 17-17
- Comments to File No. SR-NASD-2005-079 – Co-authored Wachovia Securities’ comments to proposed revisions to Rule 10322 of the NASD Code of Arbitration Procedure
- Comments to File No. SR-NASD-2004-183 – Co-authored Wachovia Securities’ comments to NASD’s proposed rule amendment concerning sales practice standards and supervisory requirements for transactions in deferred variable annuities
- Comments to NASD Notice to Members 05-25 – Co-authored Wachovia Securities’ comments to NASD’s proposal concerning new products sales material and television, video and radio advertisements
- Comments to File No. S7-06-04 – Co-authored Wachovia Securities’ comments to the SEC’s proposal concerning point of sale disclosure requirements and confirmation requirements for transactions in mutual funds, college savings plans and certain other securities
Presentations
- Kaufman Rossin – “SEC & FINRA Compliance – Cybersecurity Decoded” (February 2024)
- National Society of Compliance Professionals (NSCP) – “Equity Markets & Order Handling Considerations” (October 2023)
- InvestorCOM – “Wealth Compliance Leaders” (July 2023)
- Independent Broker Dealer Consortium (IBDC) – “Top 10 Best Compliance Tips for Broker Dealers and RIAs” (November 2022)
- University of Maryland – Presentation to College of Behavioral & Social Science’s (BSOS) MLAW students (November 2018)
- North American Securities Administrators Association (NASAA) Corporation Finance Training – “FINRA Update” & “Advertising for Financial Products” (November 2016)
- Alternative & Direct Investment Securities Association (ADISA) Annual Conference – “Legislative and Regulatory Update” (October 2015)
- FINRA Advertising Regulation Conference – “Alternative Investments: A Changing Landscape” (October 2014)