Services

Small firms need compliance leadership but may not have the resources to hire a full-time chief compliance officer. Ryan provides outsourced CCO services designed around your firm’s needs. Services include ongoing compliance guidance, Written Supervisory Procedure (WSP) reviews, mock examinations, annual compliance assistance, Consolidated Audit Trail (CAT) reporting guidance, and general regulatory advisory services.

Strong compliance programs don’t just react to problems after they occur. Ryan works with broker-dealers (BDs) to prevent problems before they happen. He advises firms on FINRA membership issues, Form BD filings and amendments, Regulation Best Interest, supervisory policies, WSP creation and annual reviews, CAT reporting requirements, and exam readiness. By addressing common compliance issues now, firms can prevent them from turning into regulatory problems later.

Broker-dealers and registered investment advisers face constantly evolving enforcement objectives and ongoing regulatory monitoring. Ryan represents firms in matters involving FINRA, the SEC, and state securities regulators, including examinations, investigations, Wells notices, and enforcement actions — bringing firsthand insight as a former in-house FINRA attorney and current CCO.

FINRA arbitration can address a range of issues, including customer disputes, employment-related matters, promissory note claims, and requests for registration expungements. Ryan represents broker-dealers and associated persons in arbitration and mediation proceedings nationwide. He also assists registered reps in preparing expungement requests to remove eligible information from their Central Registration Depository (CRD) records.

Smaller broker-dealers face the same considerable regulatory expectations as Wall Street institutions, but without the massive internal legal and compliance departments. Managing a comprehensive compliance program requires balancing daily business operations against demanding oversight. Hire the broker-dealer compliance attorney at Ryan P. Smith Law, PLC. He provides focused outside regulatory counsel to small firms, helping principals and chief compliance officers navigate complex requirements efficiently.

Operating a registered investment adviser requires integrating legal obligations directly into your daily advisory operations to maintain ongoing compliance. For smaller firms that may lack a large in-house compliance staff, Ryan P. Smith Law, PLC, provides nationwide regulatory counsel to help manage these complex responsibilities. As an experienced RIA compliance attorney, Ryan helps small investment advisers, principals, and chief compliance officers (CCOs) build, execute, and maintain practical compliance infrastructure designed to address applicable federal and state requirements.