Kevin W. Goodman Named Head Of SEC’s Broker-Dealer Examination Program

The Securities and Exchange Commission today announced that Kevin W. Goodman has been named as the national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations (OCIE).  He will oversee a staff of approximately 300 lawyers, accountants, and examiners responsible for inspections of U.S.-registered broker-dealers.

Mr. Goodman has been the acting national associate director of the program since May while also serving as acting regional director and associate director for the Denver Regional Office.

“Kevin has excellent judgment and experience.  As national associate director, he will work with our dedicated broker-dealer examination staff to further full compliance with the laws and fair treatment of investors by broker-dealers,” said OCIE Director Andrew Bowden.

Mr. Goodman said, “I am honored and excited for the opportunity to lead our broker-dealer examination staff in Washington, D.C., and throughout the country.  I have worked alongside them for the last six years and know they are a talented, resourceful, and dedicated group of professionals who work tirelessly to protect investors.”

Mr. Goodman began his SEC career in 1992 as an attorney-adviser in the Los Angeles Regional Office and was promoted to branch chief, senior special counsel, and assistant director.  Before coming to the SEC, Mr. Goodman practiced corporate and securities law in the private sector.  He graduated from Purdue University in 1982 with a degree in accounting and received his law degree from Indiana University in 1985.

OCIE conducts the SEC’s National Examination Program for investment advisers and investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents, and credit rating agencies to fulfill its mission of promoting compliance, preventing fraud, monitoring risk, and informing SEC policy.