Ryan Smith

Ryan Smith helps broker-dealers, registered investment advisers and their associates spend more time growing their business by handling their legal and compliance needs. As in-house counsel for nearly 20 years for two broker-dealers and a self-regulatory organization, Ryan has advised clients on a wide variety of matters arising under the Securities Act of 1933, the Securities Exchange Act of 1934 and related SEC and FINRA rules. Ryan has counseled them during regulatory exams, investigations, arbitration proceedings and client complaints. He has also assisted them with a wide range of compliance needs, including: serving as Chief Compliance Officer, researching and drafting written supervisory procedures to respond to new rules and other regulatory developments, overseeing reporting to the Consolidated Audit Trail (CAT) and other forms of regulatory reporting, and managing a regulatory surveillance unit. I hold active Series 7, 24 and 66 in addition to being admitted to practice law in multiple jurisdictions.

6a. ALL – Equity Markets & Order Handling Considerations (Intermediate)