REPRESENTATIVE EXPERIENCE Holly regularly counsels clients on the following issues:
- Broker-dealer compliance matters.
- Trading.
- International compliance.
- Supervisory structures.
- Registration issues.
- Net capital, customer protection and transfer agent rules.
Holly has assisted developers of various types of financial platforms, including trading and recordkeeping platforms; she has served as an independent consultant in a SEC and Financial Industry Regulatory Authority, Inc. (FINRA) enforcement matter involving complex trading systems; and has designed and taught supervisory training programs for large registered representative field forces.
PROFESSIONAL HONORS AND AWARDS
- 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 AND COMMUNITY INVOLVEMENT
- Co-chair, Broker-Dealer Legal and Regulatory Affairs Subcommittee, National Society of Compliance Professionals (NSCP)
- Former Member, Board of Directors, NSCP
RECENT PUBLICATIONS AND SPEAKING ENGAGEMENTS
- Author, ”Blowing the Whistle: New SEC Rules Set the Stage for Increased Reporting of Potential Securities Law Violations,” Practical Compliance and Risk Management for the Securities Industry (September/October 2011)
- Author, “No Easy Road – Developing a Fiduciary Standard for Broker-Dealers,” NSCP Currents (July/August 2010)
- Author, "Broker-Dealer Compliance Issues: All Over The World," Practical Compliance & Risk Management for the Securities Industry (May–June 2008)
- Author, "The NASD Examination and Disciplinary Programs," Aspen Law and Business (2005)
- Author, "Integrating Compliance into Management: New Rules Force the Issue for Broker-Dealers, Investment Companies and Investment Advisers," National Society of Compliance Professionals (January 30, 2004)
- Author, "SEC and SRO Inspections," Corporate and Securities Law Library Broker Dealer Regulation (2004)
- Speaker, NSCP National Membership Meeting (October 2011)
- Speaker, NSCP National Membership Meeting (October 2010)
- Speaker, NSCP National Membership Meeting (October 2009)
- Speaker, Sutherland Securities Symposium (October 30, 2008)
- Speaker, NSCP National Membership Meeting (October 20–22, 2008)
- Speaker, Independent Broker-Dealer Regulatory Forum (April 16, 2008)
- Speaker, NSCP National Membership Meeting (October 17–19, 2007)
- Speaker, NSCP Southern Membership Meeting (February 26, 2007)
- Speaker, NSCP National Meeting (October 18–20, 2006)
- Speaker, NSCP 2006 East Coast Membership Meeting (May 1, 2006)
- Speaker, NSCP National Membership Meeting (October 24, 2005)
- Speaker, NSCP Eastern Meeting (May 2, 2005)
- Speaker, NSCP National Membership Meeting (October 27–29, 2004)
- Speaker, ARMA International Conference, Boston (October 19–22, 2003)