Holly H. Smith: Lawyer with Sutherland Asbill & Brennan LLP

Holly H. Smith

Washington,  DC  U.S.A.

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Practice Areas

  • Financial Services
  • Broker-Dealer
  • Corporate
  • Retirement Products & Services
  • Insurance
  • Privacy & Data Security
Contact InfoTelephone: 202.383.0245
Fax: 202-637-3593
University Georgetown University, B.A.
Law SchoolThe Catholic University of America, Columbus School of Law, J.D.
Admitted1982, District of Columbia

Professional Activities
Member, Broker-Dealer Legal and Regulatory Affairs Subcommittee, National Society of Compliance Professionals (NSCP)
Former Member, Board of Directors, NSCP

BornPittsburgh, Pennsylvania, January 16, 1957

Like many of her colleagues at Sutherland, Holly began her legal career in the financial services sector as an attorney with the SEC. In her 13 years with the SEC, she served as counsel to Commissioner Mary L. Schapiro for approximately five years and later was appointed an associate director in the Division of Market Regulation (now the Division of Trading and Markets). Her responsibilities included oversight of the U.S. stock exchange, options and over-the-counter markets and certain rulemakings under the Securities Exchange Act of 1934. She worked extensively on sales practice, compliance and market structure issues, including the development and adoption of rules for the handling of customer orders and the treatment of quotations entered into electronic communications networks. In addition, she advised the SEC on matters relating to the sale of over-the-counter derivatives.

Selected Experience
Sutherland works with equity trading firms and developers of trading technology.
Companies seek Sutherland guidance in implementing new SEC disclosure rules.
Sutherland counsels broker-dealers on compliance with U.S. financial adequacy and customer protection rules.

Awards and Rankings

Recognized by Chambers USA: Guide to Leading Business Lawyers in the area of financial services regulation (2012-2014)

Recipient, SEC Law and Policy Award from SEC Chairman Richard Breeden

Recipient, Award by SEC Chairman Arthur Levitt for her work on the SEC's order handling rules


Documents by this lawyer on Martindale.com

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Florida Legislature Relaxes Agency Licensing Requirements for Broker-Dealer Branch Offices Selling Insurance Products but Creates New Disclosure Requirements for Surrenders
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Holly H. Smith, August 27, 2014
Under current Florida insurance laws, branch offices of broker-dealers selling insurance products in Florida are required to either “license” or “register” as agency branches (in addition to satisfying insurance producer licensing requirements). However, Florida recently...

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Office Information

Holly H. Smith

700 Sixth Street NW, Suite 700
WashingtonDC 20001-3980


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