Erin McCartney
Senior Special Counsel at the U.S. Securities and Exchange Commission
- Role
- Senior Special Counsel, Technical Assistance, Legal Compliance, and Planning, International Affairs at U.S. Securities And Exchange Commission
- Location
- Boca Raton, FL, US
- LinkedIn followers
- 500 followers
Experience
Senior Special Counsel, Technical Assistance, Legal Compliance, and Planning, International Affairs
U.S. Securities And Exchange Commission
Jan 2023 — Present · Miami, FL, US
Build partnerships with key foreign counterparts on a variety of securities law and oversight issues.Provide strategic advice and guidance related to SEC international practice, policy, and procedures.Organize and lead conferences for foreign regulatory authorities on topics related to supervision, examinations, investigation, enforcement, and encouraging compliance in regulated entities, such as broker-dealers, investment advisers, and investment companies.Strategic leader on projects to draft and review securities laws, regulations, and regulatory frameworks for developing securities markets. Lead teams of SEC senior officials and staff on assessments of regulatory, enforcement, and inspection capabilities to identify weaknesses in the regulatory structure. Research, interpret, and apply the Securities Act of 1933, the Securities and Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the regulations thereunder, and SEC practice, policy, and guidance in response to questions from foreign counterparts.Monitor, synthesize, and implement new executive orders, legislation, or other directives relating to SEC\'s international work.
Education
University of San Diego School of Law
JD
2001 — 2004
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