SEC Compliance Outreach Program

Denver Regional Office
Denver, CO
October 24, 2023

Agenda

Registration and Networking (12:30-1:00 pm)

Welcome and Opening Remarks (1:00-1:15 pm)
       Jason Burt, Regional Director, Denver Regional Office
       Tom Piccone, Associate Regional Director, DRO Examination Program

Panel 1:  Examination Program Priorities and Initiatives (1:15-2:15 pm)
       Jason Morrison, Exam Manager, DRO Examination Program 
       Craig Ellis, Exam Manager, DRO Examination Program 
       Jessica Bisignano, Attorney Adviser, DRO Examination Program 
       Tom Piccone, Associate Regional Director, DRO Examination Program (Moderator)

Networking Break (2:15-2:30 pm)

Panel 2:  Division Updates and Priorities (2:30-3:15 pm)
       Jason Burt, Regional Director, Denver Regional Office
       Jennifer Paul, Branch Chief, Office of Chief Counsel, Division of Investment Management
       Denise Saxon, Assistant Regional Director, DRO Examination Program (Moderator)

Panel 3:  Marketing Rule (3:15-4:00 pm)
       Matt Todd, Securities Compliance Examiner, DRO Examination Program 
       Shannon Seiferth, Regulatory Counsel, DRO Examination Program
       Chris Mulligan, IA/PF Adviser, Office of Chief Counsel, Division of Examinations
       Kenny Bossert, Assistant Regional Director, DRO Examination Program (Moderator)

Networking Break (4:00-4:15 pm)

Panel 4:  The Examination Process (4:15-4:55 pm)
       Jeb Wildschut, Securities Compliance Examiner, DRO Examination Program 
       Adam Shatek, Exam Manager, DRO Examination Program 
       Nick Madsen, Assistant Regional Director, DRO Examination Program (Moderator)

Closing Remarks (4:55-5:00 pm)
       Jason Burt, Regional Director, Denver Regional Office
       Tom Piccone, Associate Regional Director, DRO Examination Program