I am not ashamed to admit that I am a logo geek. My F3 workout buddies can attest to my collection of pom hats bearing hockey logos from the 1970s, and in fact, if given the chance I would compel
Ryan P. Smith Law Blog
The Ryan P. Smith Law Blog, published by Ryan P. Smith Law, PLC, focuses on legal issues affecting broker-dealers and registered investment advisers. It covers regulatory compliance topics including FINRA disciplinary actions, SEC rules, and best practices for managing investor funds and digital communications. The blog also discusses practical strategies for regulatory examinations, risk management, and maintaining compliance programs. Additionally, it shares insights on balancing legal practice with personal discipline and adaptability, drawing parallels between professional and personal experiences. The content aims to help financial services firms meet regulatory obligations efficiently while prioritizing client service.
Latest from Ryan P. Smith Law Blog - Page 3
E-Mail Retention
By Ryan
The broker-dealer and RIA sectors have long been aware that the criteria for maintaining and overseeing digital communications are stringent. And unforgiving. has long been aware that the criteria for maintaining and overseeing digital communications are stringent. And unforgiving. See…
Law and Order – October 2025
By Ryan
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it has taken to its online database. It also posts a monthly summary of these actions, which is a worthwhile read for those in the industry –…
A Recipe for Failure
By Ryan
The firm’s surveillance system generated more than 10,000 alerts over a two-month period. It also flagged approximately 15.2 million items over a two-year period with over 5.2 million still unreviewed at the time of the disciplinary action. If that were…
Law and Order – August 2025
By Ryan
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to its online database. It also posts a monthly summary of these actions, which is a worthwhile read for those in the industry – if…
Law and Order – July 2025
By Ryan
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to its online database. It also posts a monthly summary of these actions, which is a worthwhile read for those in the industry if only…
Compliance Checkup Form
By Ryan
Is your firm operationally ready to handle its compliance responsibilities? Find out with the Compliance Checkup Form.
Because broker-dealers, registered investment advisers and their associates want to spend their time serving their clients, not their regulators.
Read more:
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Law and Order
By Ryan
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to its online database. FINRA also posts a monthly summary of these actions. (Reader’s Digest it is not, but that is not the point.) …
The ABCs of WSPs
By Ryan
Most movie fans can quote some parts of the classic courtroom showdown between Tom Cruise’s Lieutenant Kaffee and Jack Nicholson’s Colonel Jessep in the 1992 movie A Few Good Men (“You want answers?” “I WANT THE TRUTH!” “YOU CAN’T HANDLE…
For Compliance
By Ryan
The National Society of Compliance Professionals (NSCP) is a valuable resource for the broker-dealer and registered investment adviser compliance community. I have had the good fortune to contribute to the NSCP’s efforts in a number of ways, among which is…