Ryan P. Smith

Ryan P. Smith

Partner
Washington, D.C.
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Finding Balance As A Lawyer, Part 2: Fitness
Finding Balance As A Lawyer, Part 2: Fitness
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Digital Assets: Not Quite the “Wild West”
Digital Assets: Not Quite the “Wild West”
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A Strategy for Creating an Effective CAT Compliance Program
A Strategy for Creating an Effective CAT Compliance Program
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PRESS

  • Comments to File No. SR-NASD-2005-079 – Co-authored Wachovia Securities’ comments to proposed revisions to Rule 10322 of the NASD Code of Arbitration Procedure 
  • Comments to File No. SR-NASD-2004-183 – Co-authored Wachovia Securities’ comments to NASD’s proposed rule amendment concerning sales practice standards and supervisory requirements for transactions in deferred variable annuities 
  • Comments to NASD Notice to Members 05-25 – Co-authored Wachovia Securities’ comments to NASD’s proposal concerning new products sales material and television, video and radio advertisements
  • Comments to File No. S7-06-04 – Co-authored Wachovia Securities’ comments to the SEC’s proposal concerning point of sale disclosure requirements and confirmation requirements for transactions in mutual funds, college savings plans and certain other securities
  • Regulatory Notice 17-17 

 

PRESENTATIONS

  • University of Maryland – Presentation to College of Behavioral & Social Science’s (BSOS) MLAW students (Nov. 2018) 
  • NASAA Corporation Finance Training – Presented at the “FINRA Update” and “Advertising for Financial Products” panels at the North American Securities Administrators Association’s Corporation Finance Training (Nov. 2016) 
  • ADISA Annual Conference – Spoke at the “Legislative and Regulatory Update” Panel at the Alternative & Direct Investment Securities Association’s 2015 Annual Conference (Oct. 2015)
  • FINRA Advertising Regulation Conference – Spoke on the “Alternative Investments: A Changing Landscape” panel at FINRA’s 2014 Advertising Regulation Conference (Oct. 2014)

 


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At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.

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