WITH DR. KENNETH DURR
John F. McCarthy served the Securities and Exchange Commission for 14 years, from 1992 to 2006. He joined the SEC in 1992 as a staff attorney and became an Associate Director of the Office of Compliance Inspections and Examinations’ market oversight unit in 2000. As Associate Director, Mr. McCarthy supervised the Commission's oversight inspection program which is responsible for regulatory oversight of trading on the securities exchanges. Mr. McCarthy received the Commission's 2000 and 2004 Capital Markets Award for leading inspections that assisted in reforming the options markets, and for leading OCIE's examinations of investment banking/research analysts' conflicts of interest. He also received the Chairman's Award of Excellence in 1998 for his role in improving the Commission's oversight of self-regulatory organizations. Mr. McCarthy received his B.S. in Engineering and A.B. in Economics from the University of Michigan, his M.Sc. in Finance from the London School of Economics and his JD from the University of Maryland.
Recorded July 20, 2022