McCarthy Leaves SEC For Prop Trading Firm

Dec 1 2006 | 1:55pm ET

John McCarthy, associate director at the Securities and Exchange Commission’s office of compliance inspections and examinations, will leave the agency later this month, according to the Commission. McCarthy is joining an unnamed privately-held proprietary-trading firm with offices in New York, London and Chicago.

McCarthy joined the Commission's staff in 1992 as a staff attorney and became an associate director of OCIE's market oversight unit in 2000. During his tenure, McCarthy supervised and conducted inspections and examinations that involved a wide range of issues including best execution, order handling, research analyst conflicts, market-timing and late-trading, fixed-income trading, floor trading and ATS compliance.


In Depth

Q&A: Decathlon Capital On Revenue-Based Alternative Lending

Oct 30 2017 | 3:49pm ET

The explosion in private credit activity since the end of the financial crisis is...

Lifestyle

CFA Institute To Add Computer Science To Exam Curriculum

May 24 2017 | 9:25pm ET

Starting in 2019, financial industry executives sitting for the coveted Chartered...

Guest Contributor

CAIS: How Technology is Disrupting the Alternative Investment Industry

Nov 7 2017 | 5:35pm ET

If there’s one thing that alternative investment professionals can agree on, it...