EXAMS’ Risk Alert on Advisers Act Section 204A and the Code of Ethics Rule
The SEC’s Division of Examinations (“EXAMS”) posted its observations concerning registered investment advisers’ compliance with Section 204A of…
The SEC’s Division of Examinations (“EXAMS”) posted its observations concerning registered investment advisers’ compliance with Section 204A of…
As noted recently, FINRA’s monthly publication of its Disciplinary and Other FINRA Actions offers various insight and teaching…
Anyone Can Indict a Ham Sandwich – or Put a Complaint on an AP’s Record [1] From where…
MENOs and MEORs and MEOFs, Oh My! – A High-Level Overview of CAT Reporting The Consolidated Audit Trail (CAT) is…
Industry participants know that FINRA’s monthly posting of its “Disciplinary and Other FINRA Actions” offers insight into its…
Reporter Dalvin Brown advised that “deleting old social-media posts is good hygiene, no matter who you are.” See…
In Regulatory Notice 22-10, FINRA offers the broker-dealer community guidance on when it will consider charging a Chief Compliance…
It rarely ends well for an RIA who fails to appear before the Securities and Exchange Commission to…
In Regulatory Notice 22-08, FINRA reminds its membership of their obligations when selling certain products and invites comment…
FINRA just posted guidance on potential Chief Compliance Officer liability stemming from Rule 3110 violations in Regulatory Notice…
The 2022 Report is Worthy Reading for Every Compliance Officer If you are in the broker-dealer industry, reading…
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