Resources

Compliance Checkup Form

Guide for Responding to a Regulatory Exam

Tips from The Hitchhikers’ Guide to the Galaxy for Responding to Regulatory Exams

Drafting Procedures

The ABCs of WSPs

Due Diligence

Obvious Facts and Bad Company – A Primer on Open Source Due Diligence

Trade Reporting

A Strategy for Creating an Effective CAT Compliance Program

Frequently Asked Questions (FAQs)

Topical Listing of Blog Posts

• Chief Compliance Officer
• Due Diligence
• Digital Assets
• Expungement
• FINRA
  • Enforcement
  • Examinations
  • Other Guidance
• General
• Maintaining Qualifications Program
• Regulatory Reporting
• SEC
  • Enforcement
  • SEC Examinations
• Social Media
• Work-Life Balance

Other Publications

• “Compliance Considerations for Spot Cryptocurrency ETFs“, National Society of Compliance Professionals (May 2024)
• “Two Cents on the FINRA 2023 Report“, National Society of Compliance Professionals (February 2023)
• 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)

Reference Library

• Securities Exchange Act of 1934
• Investment Advisers Act of 1940
• Securities and Exchange Commission
• Rules of Securities Exchange Act of 1934
• Rules of Investment Advisers Act of 1940
• Financial Industry Regulatory Authority
• FINRA Rules

Ryan P. Smith

• V-Card
• Ryan on LinkedIn
• Contact Ryan