Ryan P. Smith

Because broker-dealers, RIAs and their representatives want to spend their time serving their clients, not the SEC or FINRA. I am at

[Ryan P. Smith @RyanPSmithEsq]

Michael Easter wrote about a misogi: a challenge designed to expose your weaknesses. Compliance reviews work the same way. Read the May 2026 edition of Law & Order here: https://t.co/sZRLvAeu7J

[Ryan P. Smith @RyanPSmithEsq]

FINRA's proposed Rule 3290 is an improvement on OBA disclosure standards. However, the bigger issue is the breadth of disclosures publicly available about a registered rep and broker-dealers' control over those disclosures.

https://t.co/gTJ9HmmXOp

[Ryan P. Smith @RyanPSmithEsq]

Cowboy Curly taught me that balance isn't something you find - it's something you build. Read on at https://t.co/OP8F1Ue5UD.

[Ryan P. Smith @RyanPSmithEsq]

A.C.T. now or later. The April 2026 edition of "Law and Order" is available at https://t.co/1wNWUWnD0B.

[Ryan P. Smith @RyanPSmithEsq]

Do you want resources for drafting procedures or responding to a regulatory exam? Complimentary guides are available at https://t.co/hkNcAio3xd.

[Ryan P. Smith @RyanPSmithEsq]

Please join me in welcoming my new assistant, Caitlin Abbott. Caitlin will bring her wealth of experience as a legal assistant to help the firm's clients spend more time serving their own clients. Welcome, Caitlin!

[Ryan P. Smith @RyanPSmithEsq]

The CAT is back . . . at the exam table. Read more at https://t.co/qVC1LHsCtD.

[Ryan P. Smith @RyanPSmithEsq]

Part-educational, part-homecoming, and all-worthwhile. Happy to attend the 2026 FINRA Annual Conference!

[Ryan P. Smith @RyanPSmithEsq]

With apologies to Jerry Orbach and Benjamin Bratt, the March 2026 edition of "Law and Order" is available at https://t.co/KZNNi4tCEl.

[Ryan P. Smith @RyanPSmithEsq]

I've moved. No, it's not to the east side or to a deluxe apartment in the sky, but it's exciting nonetheless. You can now find me at 4201 Wilson Boulevard, 3rd Floor, Arlington, VA 22203.

Because broker-dealers and RIAs want to spend their time serving their clients.

[Ryan P. Smith @RyanPSmithEsq]

I help broker-dealers and registered investment advisers spend more time serving their clients and their business and less time serving their regulators. Contact me at https://t.co/05xkhlHjhu if you want to bring decades of Wall Street experience to your firm.

[Ryan P. Smith @RyanPSmithEsq]

Free resources for broker-dealers and registered investment advisers? Yes, please. Complimentary guides are available at https://t.co/zeutCVofPw.

[Ryan P. Smith @RyanPSmithEsq]

"It depends" said every lawyer ever. The SEC and CFTC has posted their thoughts on the digital world at https://t.co/rksY9v2yTK.

[Ryan P. Smith @RyanPSmithEsq]

Many look at April 15 with a side-eye. However, the broker-dealer community has something to look forward to on that day. Read more at https://t.co/Yf6JmXDWhZ.

[Ryan P. Smith @RyanPSmithEsq]

I help broker-dealers and registered investment advisers spend more time serving their clients and their business and less time serving their regulators. Contact me at https://t.co/05xkhlHjhu if you want to bring decades of Wall Street experience to your firm.

[Ryan P. Smith @RyanPSmithEsq]

Resources for drafting supervisory procedures or responding to a regulatory exam? Yes, please. Complimentary guides are available at https://t.co/5naLduLckJ.

[Ryan P. Smith @RyanPSmithEsq]

FINRA Forward forges fast. A quick update on recent and proposed changes in the broker-dealer space is available at https://t.co/TiN8YTI2ni.

[Ryan P. Smith @RyanPSmithEsq]

Move over Sam Waterston and Ice-T. The February 2026 edition of "Law and Order" is available at https://t.co/SJNgQCBshk.

[Ryan P. Smith @RyanPSmithEsq]

My law firm turned 2! Words cannot adequately convey my gratitude to my clients and my colleagues for their support. I suppose "Thank you" will have to do for now.

Because broker-dealers, RIAs and their associates want to spend their time on their clients, not their regulators.

[Ryan P. Smith @RyanPSmithEsq]

Queue the "dun-dun" sound, the January 2026 edition of "Law and Order" is available at https://t.co/bFVfng4SJk.