Ryan P. Smith

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 and you feel at times that you are trying to boil away the ocean.

You are concerned that your regulator now seeks documents and additional information from your firm.

You need to defend a complaint or arbitration claim from a client.

I have been there.  I have practiced law on “The Street” for over 20 years – as an in-house litigator for what was then known as Wachovia Securities, in-house counsel for FINRA (Office of General Counsel, Corporate Financing and Member Regulation), and finally, as the Associate General Counsel and Chief Compliance Officer of Folio Investments (now a part of Goldman Sachs).  I am a current CCO.

I offer concrete, actionable and cost-effective solutions to broker-dealers, registered investment advisers and their associates to help them meet their legal and regulatory obligations.  Please 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 Services;
  • 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.
Blog Posts
NSCP Volunteer
Broker-Dealers
For Compliance
Tips from The Hitchhikers' Guide to the Galaxy for Responding to Regulatory Exams
Broker-Dealers
A Trilogy in Five Parts
Consolidated Audit Trail
Broker-Dealers
Not the Same CAT
 View All Blog Posts
Reach Out Today

I am admitted to practice law in Maryland, Virginia and the District of Columbia and can appear in almost any jurisdiction for regulatory or arbitration matters.

Arlington Office
4250 Fairfax Dr. Suite 600
Arlington, VA 22203
Call our office 571.317.0605
Contact the Firm Online