SEC Compliance Outreach Program

Denver Regional Office
Salt Lake City, UT
October 26, 2023

Agenda

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

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