Ryan SmithWith Apologies to George Carlin | Practus, LLPGeorge Carlin was one of the best. Not only did he help Alex Winter and Keanu Reeves save the world, but also put together the authority on…Oct 18, 2022Oct 18, 2022
Ryan SmithExpungement? Not So Fast, My Friend | Practus, LLPThis Is The Business We’ve ChosenAug 31, 2022Aug 31, 2022
Ryan SmithFinding Balance As A Lawyer, Part 4: Equipment | Practus, LLPAn Ode to Curly and Work-Life Balance, Part 4: EquipmentAug 15, 2022Aug 15, 2022
Ryan SmithFinding Balance As A Lawyer, Part 3: Service | Practus, LLPAn Ode to Curly and Work-Life Balance: ServiceJul 18, 2022Jul 18, 2022
Ryan SmithIs the Past Prologue? FINRA Permits Remote Inspections . . . For Now | Practus, LLPOn July 1, FINRA amended Rule 3110.17 to allow broker-dealers to remotely inspect offices of supervisory jurisdiction (OSJs), branch…Jul 14, 2022Jul 14, 2022
Ryan SmithFinding Balance As A Lawyer, Part 2: Fitness | Practus, LLPAn Ode to Curly and Work-Life Balance: Fitness & HealthJun 23, 2022Jun 23, 2022
Ryan SmithDigital Assets: Not Quite the “Wild West” | Practus, LLPLast week Congress received a bill that would grant the Commodity Futures Trading Commission, not the Securities and Exchange Commission…Jun 12, 2022Jun 12, 2022
Ryan SmithFinding Balance As A Lawyer, Part 1: Food & Happiness | Practus, LLPAn Ode to Curly and Work-Life Balance, Part 1: FoodJun 7, 2022Jun 7, 2022
Ryan SmithCowboy Curly, Mitch and Work-Life Balance | Practus, LLPAll of my commentary to this point has concerned matters involving broker-dealers, registered investment advisers and their associates. It…May 28, 2022May 28, 2022
Ryan SmithFINRA’s Expectations of the Broker-Dealer IndustryFINRA issued Regulatory Notice 22–11 in April to remind broker-dealers of their obligations in the sale of alternative mutual funds to…May 16, 2022May 16, 2022