Holly H.


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

Awards and Rankings

Recognized by The Legal 500 United States in the area of financial services: regulatory (2015)

Recognized by Chambers USA: Guide to Leading Business Lawyers in the area of financial services regulation (2012-2016)

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

Professional Activities

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

  • J.D., The Catholic University of America, Columbus School of Law
  • B.A., Georgetown University
Bar Admissions
  • District of Columbia

Our Story

Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
Add this page to MYBRIEFCASE
People - Holly H. Smith
Save ChangesDownload MYBRIEFCASEClear All