The Law Office of Melanie L. Ryan, LLC • 9 Cottage Place, Nutley, New Jersey 07110 • 917.346.6547
Securities Compliance Consulting
Before opening The Law Office, Melanie worked for twenty years for various international investment banks, investment advisors and broker dealers as a senior compliance official. Her areas of expertise include private placements, institutional trading, cross border primary markets and all facets of sales practice.
Melanie served on FINRA’s Series 14 Committee, which writes the Compliance Official Examination, from 1996 until 2014 and served on FINRA’s Series 7 Committee, which writes the Registered Representative Examination, from 2005 until 2014.
For more information on support in the compliance area fill out the form on the right.
Now, through The Law Office, Melanie offers compliance support to small and mid-size broker dealers on a consultancy basis in the following areas:
Melanie has over 20 years’ experience handling examinations by the SEC, FINRA, the New York Stock Exchange, the National Futures Association, the Chicago Board of Trade and the Federal Reserve Bank of New York. Regulatory examinations can be overwhelming for small broker dealers and branch offices with limited staff and officers “wearing many hats.” Melanie offers hands-on, on-site regulatory examination and follow-up support and is available to interface between regulators and firm staff to optimize examination results.
Written Supervisory Procedures
Melanie is available to review existing procedures and adapt them to your firm’s business as rules and laws change and to draft new procedures as your firm expands into new business lines or addresses new regulatory requirements.
Firm Element Continuing Education
FINRA requires that all registered representatives participate in a continuing education program provided in-house by the Firm. Melanie is able to create, administer and deliver a Firm Element program tailored to your firm’s specific business lines and particular compliance issues. The firm-element can take the form of a computer based program or an on-site seminar with representatives.
Outside Opinions & Expert Witness Testimony
The Law Office is available to provide written legal opinions and provide expert witness testimony on a myriad of topics within the financial industry including institutional trading disputes, AML, suitability, primary markets, cross-border issues and adequacy of written supervisory procedures
Rule 1017 Applications
FINRA Rule 1017 requires that the regulator be notified of changes in ownership and/or business lines in advance of effecting any changes to ensure the firm’s membership agreement with FINRA encompasses the full landscape of the firm. Melanie has submitted and coordinated over twenty Rule 1017 applications to FINRA over the years, running the gamut from mergers and sales of broker dealers to new product development and implementation. The Law Office is available to assist your firm in filing 1017 notifications and application.
Request information regarding Securities Compliance