Ryan Smith Email & Phone Number

Arlington, VA, US

Washington, DC, US

New York, New York, US

Served as Vice President and Chief Compliance Officer of Folio Investments, Inc. following Goldman Sachs' acquisition of the broker-dealer.

Mclean, VA, US

• Administered Folio’s compliance with the regulatory standards applicable to an online, self-clearing broker-dealer providing execution, clearing and custodial services to registered investment advisors and their clients
• Evaluated regulatory developments, identified methods to mitigate compliance risks to the firm, and implemented corresponding written supervisory policies and procedures
• Provided guidance to other departments on the application of rules and regulations
• Responded to regulatory inquiries

Mclean, VA, US

• Provided legal support to all aspects of Folio's operations as an online, self-clearing broker-dealer providing execution, clearing and custodial services to individual investors and registered investment advisors

Washington, District Of Columbia, US

• Provided interpretive advice to FINRA staff, member firms and other interested parties concerning FINRA's rules as well as the federal securities laws and regulations
• Supported FINRA's administration of regulatory services agreements by analyze other self-regulatory organizations’ rules pursuant to Rule 17d-2 of the Securities Exchange Act of 1934
• Represented the organization in non-disciplinary litigation, including statutory disqualification proceedings

Washington, District Of Columbia, US

• Co-managed FINRA's private placement oversight program in its Corporate Financing Department
• Developed processes to evaluate securities sold through private placements and drafted corresponding procedures
• Supervised analysts in their reviews and investigations of these offerings
• Provided guidance on the federal and state standards applicable to private placements to other FINRA units
• Represented the Department in communications to the industry (e.g., Regulatory Notice 17-17; presentations to the Alternative & Direct Investment Securities Association and the North American Securities Administrators.

Washington, District Of Columbia, US

• Managed litigation and reputational risk to FINRA by effectively representing the organization in litigation and other matters
• Reported investigation results to senior management orally and in writing
• Drafted pleadings and motions and supervised local counsel in these matters
• Trained staff on policies and procedures concerning e-discovery and interacting with other regulators

Richmond, VA, US

• Counseled clients with issues before state and federal courts and other bodies, including FINRA, the Securities and Exchange Commission (SEC), the National Futures Association, the Occupational Safety and Health.
• Drafted pleadings and other motions, handled all phases of discovery, prepared clients for examination and conducted the evidentiary hearings or negotiated settlements, as applicable

St. Louis, Missouri, US

• Helped the organization manage regulatory risk by analyzing the impact of SEC and FINRA rules on business processes and drafting or updating compliance procedures

St. Louis, Missouri, US

• Represented the company and its employees in complaints and arbitration claims
• Investigated claims and advised management on the risks that these matters posed
• Drafted pleadings and other motions, handled all phases of discovery, prepared clients for examination and conducted the evidentiary hearings or negotiated settlements, as applicable
• Researched and drafted the company’s comments on several SEC and FINRA rulemaking proposals

Washington, District Of Columbia, US

Analyzed broker-dealer communications for compliance with the applicable regulatory standards, and upon identifying any deficiencies, memorialized my findings to the member firm.

Juris Doctor, Law

Bachelor Of Science