Your day was going great. You helped a client with a particularly complex situation. Another client submitted the paperwork to transfer accounts to your firm. You did not have to deal with a bulldozer trying to demolish your home.
Then you
Ryan P. Smith Law, PLC
Ryan P. Smith Law, PLC is a law firm that provides legal services primarily to broker-dealers and registered investment advisers. The firm focuses on helping clients comply with regulatory obligations, particularly those related to financial industry regulations and securities law. Its publications often discuss regulatory compliance, enforcement actions by bodies like FINRA, and best practices for managing legal risks in the financial sector. The firm also shares insights on practical aspects of legal practice, such as preparation and adaptation in client representation, and emphasizes the importance of regulatory adherence to protect investors and maintain operational integrity.
Website:
https://ryanpsmith.com
Latest from Ryan P. Smith Law, PLC - Page 5
Home Sweet Home
By Ryan
This June, the Financial Industry Regulatory Authority (FINRA) will permit a broker-dealer to designate a home office as a “Residential Supervisory Locations” (RSL) within its supervisory structures. (While this is certainly welcome news, as Vince Neil will tell you, just…
Obvious Facts and Bad Company
Fresh off the presses is “Obvious Facts and Bad Company“, which I co-wrote for the National Society of Compliance Professionals’ (NSCP) October 2023 edition of Currents. There we offer various tips and resources for compliance professionals to conduct…
Wealth Compliance Leaders
Our F3 workouts typically begin at 0530, which leads the smart aleck in me to quip that it is probably better for everyone involved that they can’t see me very well. I guess the joke is on me. It was…