Federal Preemption
I recently had the opportunity to assist the Alternative & Direct Investment Securities Association (ADISA) with a comment…
I recently had the opportunity to assist the Alternative & Direct Investment Securities Association (ADISA) with a comment…
I’ve been around the Consolidated Audit Trail (CAT) long enough to remember when it was still mostly a…
From “Don’t panic” to “So once you do know what the question actually is, you’ll know what the…
Procedures are the backbone of any compliance program SEC Rule 206(4)-7(a) requires registered investment advisers to implement written…
As 2025 concluded, recent Securities and Exchange Commission development further highlighted significant shifts in its priorities. Beyond Staff’s most…
Most movie fans can quote some parts of the classic courtroom showdown between Tom Cruise’s Lieutenant Kaffee and…
The National Society of Compliance Professionals (NSCP) is a valuable resource for the broker-dealer and registered investment adviser compliance community.…
From “Don’t panic” to “So once you do know what the question actually is, you’ll know what the…
I do not think that it is an exaggeration to write that historically the public’s view of securities…
Your day was going great. You helped a client with a particularly complex situation. Another client submitted the…
In April 2024, the Securities and Exchange Commission’s Division of Examinations (“EXAMS”) posted another Risk Alert concerning the…
Your day was going great. You helped a client with a particularly complex situation. Another client submitted the…
*Images are obtained under license from Canva and other third-party stock image providers, with attribution included where required.
Copyright © 2026 Ryan P. Smith Law, PLC • All Rights Reserved. Disclaimer | Site Map | Privacy Policy. Digital Marketing By: 