Jaffe, Joshua P.

Tiffany Smith is a senior associate in the Securities Department, and a member of the Broker-Dealer Compliance and Regulation Practice Group. She joined the firm in 2008.

Past Experience

Ms. 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. She has worked with clients to draft and implement retail and institutional compliance and supervisory policies and procedures. Ms. Smith has also worked with clients to receive exemptive relief from securities laws and regulations, as well as, assisted clients in providing comments to proposed securities legislation.

While in law school, Ms. Smith was a Compliance Audit Specialist for M&T Securities. She audited personnel to ensure compliance with internal, NASD and SEC rules. While employed by M&T Securities, Ms. Smith held the following securities licenses: Series 6, 7, 24, 53, 63 and 65. Further, Ms. Smith interned at the Investment Management Division of the Securities Exchange Commission and the Litigation Department at the Financial Industry Regulatory Authority.