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