Tiffany J. Smith has over a decade of experience advising and representing broker-dealers and other financial institutions, including financial technology companies, regarding compliance with federal and state securities laws and regulations and the rules of the self-regulatory organizations. Ms. Smith’s practice primarily focuses on three areas: (i) broker-dealer regulatory compliance, (ii) representing clients in connection with enforcement matters and regulatory examinations, and (iii) providing regulatory advice in connection with corporate transactions.
With respect to broker-dealer regulatory compliance, Ms. Smith often advises clients on newly adopted rules and areas of increased regulatory focus, including the rules on market access, securities trading and market activities, short sales, and issuer repurchases. Ms. Smith also has experience advising clients on the regulatory implications of new and emerging technologies (e.g., blockchain) and helping clients navigate the regulatory hurdles associated with these technologies. In addition, she counsels clients on triggers for broker-dealer registration, including those related to offshore activities and those related to the activities of financial technology companies.