Ryan Smith

• Microsoft Teams

University of Maryland - College Park

B.S.

George Mason University School of Law

J.D.

Obvious Facts and Bad Company

National Society of Compliance Professionals

October, 2023

Two Cents on the 2023 FINRA Report

National Society of Compliance Professionals

February, 2023

A Strategy For Creating an Effective CAT Compliance Program

National Society of Compliance Professionals

May, 2022

SEC & FINRA Compliance - Cybersecurity Decoded, Webinar

February 2024

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

October 2023

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

July 2023

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

November 2022

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

November 2016

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

October 2015

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

October 2014

FINRA

Spoke on the "Alternative Investments: A Changing Landscape" panel at FINRA's 2014 Advertising Regulation Conference.