Holly Smith

Practice Areas

Holly spent 13 years at the Securities and Exchange Commission, working as counsel to SEC Commissioner Mary Schapiro and as an Associate Director in the Division of Market Regulation (now the Division of Trading and Markets). At Eversheds Sutherland (US), she advises broker-dealers, investment advisers, retirement platforms, transfer agents, and their affiliates on SEC, FINRA, and state compliance and enforcement matters, including registration, changes in ownership, sales practices, Form CRS, Reg BI, custody, customer protection, net capital and recordkeeping rules. She also works on market structure, technology and outsourcing issues, including trading and clearing platforms and agreements, digital asset, and cryptocurrency issues. She frequently works on large merger and asset acquisition transactions. Holly also worked as Chief Counsel for a department at the NASD, now FINRA.