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SEC appoints new director of broker-dealer examination program

  • SEC (US Securities and Exchange Commission) Image

Nov 14, 2013

Today, the SEC announced that Kevin W. Goodman will serve as the national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations.

As head of the broker-dealer examination program, Mr. Goodman will lead a team of lawyers, accountants, and examiners responsible for U.S. registered broker-dealer inspections.

Before joining the SEC, Mr. Goodman was a practicing corporate and securities lawyer in the private sector. He began his career with the SEC as an attorney-adviser and also held positions as branch chief, senior special counsel, and assistant director.

For additional information, see the press release on the SEC’s Web site.

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