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Articles by holly-h-smith

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Holly H Smith (37) - Page 2

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ARTICLES(37)

Broker-Dealer Annual Audits and Accounting Standards: SEC and PCAOB Developments
December 21, 2010
LEGAL ALERTS/ARTICLES
Author: Holly H Smith
Law Firm: Eversheds Sutherland (US) LLP

Impact of Dodd-Frank Wall Street Reform and Consumer Protection Act on Broker-Dealers
August 27, 2010
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Clifford Evan Kirsch, Michael Bennett Koffler, Susan Schmidt Krawczyk, Holly H Smith
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

SEC Proposes New Rule to Identify Large Traders, Including Insurance Companies
April 30, 2010
LEGAL ALERTS/ARTICLES
Author: David S. Goldstein, Susan Schmidt Krawczyk, Stephen E Roth, Holly H Smith
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

MSRB Notice 2007-32 -- New Supervisory Requirements Under Rule G-27
December 03, 2007
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Steven B Boehm, Clifford E. Kirsch, Michael B. Koffler, Susan Schmidt Krawczyk, Holly H Smith
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

NASD Answers Frequently Asked Questions Regarding SEC and NASD Financial Responsibility Rules
April 17, 2007
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Clifford E. Kirsch, Michael B. Koffler, Susan Schmidt Krawczyk, Holly H Smith
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

Practical Compliance Advice for Broker-Dealers
November 27, 2006
LEGAL ALERTS/ARTICLES
Author: Eric A. Arnold, Clifford E. Kirsch, Michael B. Koffler, Susan Schmidt Krawczyk, Holly H Smith
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

NASD NTM 06-06: Gifts and Business Entertainment
January 26, 2006
LEGAL ALERTS/ARTICLES
Author: Susan Schmidt Krawczyk, Eric A. Arnold, Holly H Smith, Michael B. Koffler
Law Firm: Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP, Eversheds Sutherland (US) LLP

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