Tiffany J. Smith advises and represents broker-dealers and other financial institutions regarding compliance with federal and state securities laws and regulations and the rules of the self-regulatory organizations. Ms. Smith frequently advises and counsels clients on cutting edge compliance issues that result from newly adopted rules or legislation, as well as areas of increased regulatory focus.
Ms. Smith advises and represents broker-dealers and other financial institutions, regarding compliance with federal and state securities laws and regulations, and in connection with regulatory examinations and enforcement actions. She also advises and represents clients with respect to the rules of various self-regulatory organizations.
Ms. Smith counsels clients in a variety of regulatory and compliance areas including the rules on market access, securities trading and market activities, short sales, and issuer repurchases. She also counsels clients on triggers for broker-dealer registration, including the triggers related to offshore activities and those related to the activities of financial technology companies.
Ms. Smith frequently advises clients through the Financial Industry Regulatory Authority (FINRA) new member and continuing member processes and on regulatory issues in connection with corporate transactions. Ms. Smith has worked with clients to receive exemptive relief from securities laws and regulations, as well as, assisted clients in providing comments to proposed securities legislation.
At the firm, Ms. Smith has been active on the Diversity Committee, Hiring Committee, Pro Bono and Community Service Committee and various volunteer based initiatives. In 2016 and 2017, she was co-chair of firm’s New York summer associate program.
While in law school, Ms. Smith was a Compliance Audit Specialist for M&T Securities. She audited personnel to ensure compliance with internal, FINRA and Securities and Exchange Commission (SEC) rules.
While employed by M&T Securities, Ms. Smith held the following securities licenses: Series 6, 7, 24, 53, 63 and 65. Ms. Smith also interned at the Investment Management Division of the SEC and the Litigation Department at FINRA.
In 2014, Ms. Smith completed the Council of Urban Professionals (CUP) Executive Leadership Program, a year-long leadership development program comprised of leadership training, coaching and keynote conversations with executives. Ms. Smith is also a member of the National Bar Association.
EDUCATION :
- JD, The George Washington University Law School, 2008
- BBA, The George Washington University, 2004
ADMISSIONS : District of Columbia, New York
Cost
Rate : $$$
