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 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.
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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…