Kevin . Goodman
Securities and Exchange Commission
Kevin W. Goodman leads the SEC's National Broker-Dealer Examination Program and oversees a staff of approximately 300 lawyers, accountants, and examiners responsible for examinations of U.S. registered broker-dealers to further full compliance with the laws and fair treatment of investors. Mr. Goodman also serves as a member of the Executive and Operating Committees for OCIE's National Examination Program. Prior to assuming his current role, Mr. Goodman served for six years as Associate Regional Director of the SEC's Denver Regional Office, where he managed the examination program for the office. Mr. Goodman joined the SEC staff in Los Angeles in 1992 as an Attorney-Adviser, and later served as Branch Chief, Senior Special Counsel, and Assistant Director, all with the Investment Adviser/Investment Company examination program. Mr. Goodman graduated from Purdue University in 1982 with a degree in accounting and received his law degree from Indiana University in 1985. Prior to joining the staff, Mr. Goodman practiced corporate and securities law in the private sector with an emphasis on mergers and acquisitions.
(05/14)
