Ryan Smith

Ryan Smith

Because broker-dealers and RIAs want to serve clients, not regulators.
  • Securities Law
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Claimed Lawyer ProfileSocial Media
Education
University of Maryland - College Park
B.S.
University of Maryland - College Park Logo
George Mason University School of Law
J.D.
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Publications
Articles & Publications
Obvious Facts and Bad Company
National Society of Compliance Professionals
Two Cents on the 2023 FINRA Report
National Society of Compliance Professionals
A Strategy For Creating an Effective CAT Compliance Program
National Society of Compliance Professionals
Speaking Engagements
SEC & FINRA Compliance - Cybersecurity Decoded, Webinar
Kaufman Rossin
This was a live panel discussion to share observations, themes, and key takeaways from FINRA’s 2024 Cybersecurity Conference, commentary on proposed rules still on the horizon and what firms should be doing today to help protect their organizations.
Equity Markets & Order Handling Considerations, National Society of Compliance Professionals' 2023 National Conference
National Society of Compliance Professionals
This was a live panel at the National Society of Compliance Professionals' 2023 National Conference in which we discussed how the equity markets are structured, including its various market participants (exchanges, alternative trading systems and wholesalers) and explored recent SEC rulemaking pertaining to equity market structure.
Wealth Compliance Leaders, webinar
InvestorCOM
It was my pleasure to spend some time on camera with Parham Nasseri, CFA for another installment of InvestorCOM Inc.‘s “Wealth Compliance Leaders” series. It is now available on YouTube at https://www.youtube.com/watch?v=2r_KT0KtfpY.
Top 10 Best Compliance Tips for Broker-Dealers and RIAs, webinar
Independent Broker-Dealer Alliance
A live panel of IBDC Alliance members sharing the tips to put into action in an effort to avoid costly litigation.
Corporation Finance Training, North American Securities Administrators Association's Corporation Finance Training, Houston, Texas
NASAA
Presented at the "FINRA Update" and "Advertising for Financial Products" panels at the North American Securities Administrators Association's Corporation Finance Training in Houston, Texas.
Legislative and Regulatory Update, Alternative & Direct Investment Securities Association's 2015 Annual Conference, Las Vegas, Nevada
ADISA
Spoke at the "Legislative and Regulatory Update" Panel at the Alternative & Direct Investment Securities Association's 2015 Annual Conference in Las Vegas, Nevada.
Alternative Investments: A Changing Landscape, FINRA's 2014 Advertising Regulation Conference, Washington, DC
FINRA
Spoke on the "Alternative Investments: A Changing Landscape" panel at FINRA's 2014 Advertising Regulation Conference.
Practice Area
Securities Law
Social Media
Websites & Blogs
Website
Ryan P. Smith Law, PLC
Contact & Map
Ryan P. Smith Law, PLC
4250 North Fairfax Drive
Suite 600
Arlington, VA 22203
Telephone: (571) 317-0605
Monday: 9 AM - 6 PM
Tuesday: 9 AM - 6 PM
Wednesday: 9 AM - 6 PM
Thursday: 9 AM - 6 PM
Friday: 9 AM - 6 PM (Today)
Saturday: Closed
Sunday: Closed