Matthew Daugherty
About Matthew Daugherty
Matthew Daugherty serves as Vice President and Counsel at the Financial Industry Regulatory Authority (FINRA), where he coordinates regulatory oversight activities. With over a decade of experience in market oversight, he previously held a senior role at the U.S. Securities and Exchange Commission.
Work at FINRA
Matthew Daugherty has served as Vice President and Counsel at the Financial Industry Regulatory Authority (FINRA) since 2011. In this role, he operates within the Office of Oversight Liaison, which is essential for coordinating regulatory oversight activities. His responsibilities include ensuring compliance with financial regulations and overseeing market activities. Daugherty's tenure at FINRA spans over 13 years, during which he has contributed to the organization's mission of protecting investors and maintaining market integrity.
Experience at U.S. Securities and Exchange Commission
Prior to joining FINRA, Matthew Daugherty worked at the U.S. Securities and Exchange Commission (SEC) as Senior Special Counsel in the Office of Compliance Inspections and Examinations (OCIE) from 2002 to 2011. In this position, he focused on market oversight and regulatory compliance, gaining extensive experience in the financial regulatory landscape. His nine years at the SEC provided him with a strong foundation in the complexities of financial regulations and oversight.
Education and Expertise
Matthew Daugherty holds a Doctor of Law (J.D.) degree from the University of Baltimore School of Law, which he earned from 1996 to 1999. He further advanced his legal education by obtaining a Master of Laws (LLM) in Securities and Financial Regulation from Georgetown University Law Center. His educational background equips him with specialized knowledge in financial regulations, enhancing his expertise in market oversight and compliance within the financial industry.
Background
Matthew Daugherty has over a decade of experience in regulatory oversight and compliance within the financial industry. His career has been marked by significant roles in both the SEC and FINRA, where he has developed a comprehensive understanding of financial regulations. His work has focused on ensuring that financial markets operate within the established legal frameworks, contributing to the overall stability and integrity of the financial system.