FacultyFaculty/Author Profile
W. Carson McLean

W. Carson McLean

U.S.Securities and Exchange Commission
Assistant Director, Division of Trading and Markets
Washington, DC, USA


Education

 

Georgetown University Law Center
Washington, D.C.
October 2010

Master of Laws in Securities and Financial Regulation, with distinction                                                                

Honors:         Best Exams – Securities Trading Regulation; Corporate Controls, Compliance & Governance

                       CALI Excellence for the Future Award – Corporate Controls, Compliance & Governance

 

Syracuse University College of Law
Syracuse, NY
May 2006

Juris Doctor                                         

Honors:         L. Frederick Goldie Publication Award –

                       The Sarbanes-Oxley Act: A Detriment to Market Globalization & International Securities Regulation

Activities:     Student Attorney, Securities Arbitration Clinic

                       Notes & Comments Editor, Journal of International Law and Commerce

                                        

Dickinson College
Carlisle, PA
May 1999                                                                                                                    

Bachelor of Arts cum laude in English; Minor in Economics                                                                                           

 

Professional Legal Experience

 

United States Securities and Exchange Commission    
Washington, D.C.
April 2016 – Present

Assistant Director – Cash-Market Clearing, Office of Clearance and Settlement                                  

Lead and manage a team charged with supervising three registered clearing agencies that were designated systemically important financial market utilities for the debt and equity markets. Provide advice, counsel, and guidance on sensitive, complex, and often unprecedented issues, in furtherance of the Commission’s oversight of the national securities clearance and settlement system. Review and analyze proposed rule changes and advance notices filed by clearing agencies for consistency with applicable federal securities laws and risk management standards. Maintain a current understanding of clearance and settlement matters, including regulations, proposed rulemakings, Commission decisions, industry practices, and international principles. Work with senior staff to formulate policies and practices to ensure efficient and effective execution of charged duties. Establish and foster productive working relationships with clearing agencies and other federal regulators. Serve as a resource for Commission staff, members of the securities industry, and the public.

 

Branch Chief – Equity Clearing, Office of Clearance and Settlement
July 2014 – April 2016

 

Special Counsel – Equity Clearing, Office of Clearance and Settlement
September 2012 – July 2014

 

Financial Industry Regulatory Authority (FINRA)
Washington, D.C.
February 2008 – September 2012

Senior Attorney, Criminal Prosecution Assistance Group                                                   

Provided investigative and prosecutorial counsel, assistance, and training to federal and state criminal prosecutors and agents, including: trial and grand jury testimony regarding securities laws, markets, and products; blue sheet, audit trail, and brokerage account analysis; and proffer evaluation. Composed legal memoranda on various securities and evidentiary issues. Attended and presented at white-collar crime roundtables, securities fraud working groups, securities industry conferences, and FBI trainings. Reorganized processes to improve the Group’s efficiency and effectiveness.

 

Investigator, Department of Enforcement 
March 2007 – February 2008

Researched potential and investigated alleged violations of FINRA rules and federal securities laws. Developed and implemented case strategies. Negotiated with opposing counsel. Took on-the-record testimony. Drafted document requests and analyzed productions. Communicated with federal and state regulatory agencies. 

 

Jones Day
Washington, D.C.
May 2001 – August 2003 

Legal Assistant, Trial Practice 

 

Bar Membership, Activities & Interests

  • Member: New York State Bar, District of Columbia Bar
  • Triathlons, skiing, soccer, good food and drink
W. Carson McLean is associated with the following items:
Web Segment  Web Segment Workshop E: Trading and Markets - SEC Speaks in 2017, Tuesday, February 28, 2017
MP3 Audio  MP3 Audio Workshop E: Trading and Markets - Workshop E: Trading and Markets, Tuesday, February 28, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Workshop E: Trading and Markets - Workshop E: Trading and Markets, Tuesday, February 28, 2017
On-Demand Web Programs  On-Demand Web Programs SEC Speaks in 2017, Friday, March 03, 2017, Washington, DC
Live Seminar  Live Seminar The SEC Speaks in 2018, Friday, February 23, 2018, Washington, DC
Live Webcast  Live Webcast The SEC Speaks in 2018, Friday, February 23, 2018, Washington, DC
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