Holly H. Smith


Partner

Eversheds Sutherland


Holly H. Smith, CSCP, is a Partner in the Washington office of Eversheds Sutherland LLP. She counsels financial services companies, broker-dealers and securities exchanges on compliance matters and trading rules, including the net capital and transfer agent rules; supervisory structures, and regulatory exams and investigations. Holly has designed and taught supervisory training programs for large registered rep field forces and served as an independent consultant in an SEC and FINRA enforcement matter involving complex trading systems. Prior to joining Sutherland, Holly was legal counsel to SEC Commissioner Mary L. Schapiro, Associate Director at the SEC in the Division of Trading and Markets and Chief Counsel of the NASD’s Internal Review Department. Ms. Smith is a past member of the NSCP Board of Directors.


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