Thursday, 23 March 2017
Last updated 4 hours ago
Dec 1 2006 | 12:55pm 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.