FacultyFaculty/Author Profile

Holly H. Smith

Sutherland LLP

Washington, DC, USA


Holly H. Smith is a partner at Sutherland. She advises broker-dealers, market makers, banks, and insurance companies on the application of the U.S. federal securities laws and the rules of the self-regulatory organizations, particularly the National Association of Securities Dealers, Inc. She regularly counsels clients on broker-dealer compliance matters and trading rules, including the net capital and transfer agent rules, supervisory structures, and registration issues. Her practice includes all aspects of compliance with the Securities Exchange Act of 1934. Prior to joining the firm, she spent thirteen years at the Securities and Exchange Commission. While at the SEC, she served as counsel to Commissioner Mary L. Schapiro for approximately five years and later was appointed an Associate Director in the SEC’s Division of Market Regulation. As Associate Director, she was responsible for oversight of U.S. stock exchange, options, and over-the-counter markets.
Holly H. Smith is associated with the following items:
Treatise Chapters  Treatise Chapters SEC and FINRA Inspections - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
FINRA Examination and Disciplinary Programs - Variable Annuities and Variable Life Insurance Regulation, Thursday, October 12, 2017
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