SEC appoints Carley to post in Atlanta office By Aaron Siegel July 31, 2006 The Securities and Exchange Commission appointed James L. Carley as the Associate District Administrator for Examinations in its Atlanta District Office.
Mr. Carley will direct a team of accounting, finance, and legal professionals in the examination of broker-dealers, investment companies, investment advisers, and transfer agents in Alabama, Georgia, Louisiana, Mississippi, North Carolina, South Carolina, and Tennessee.
He replaces Frank McGing, who retired in January.
Mr. Carley has been with the regulator for seven years in various roles with the U.S. Commodity Futures Trading Commission, including leading the supervision of derivatives clearinghouses, futures brokers, and commodity pool operators and trading advisors.
Prior to the SEC, he served in financial management roles with Pembroke Pines, Fla.-based GTE Corporation and Tempe, Ariz.-based USAirways Group Inc., and practiced law in the area of aviation finance with the Washington-based firm of Zuckert, Scoutt & Rasenberger.
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