The SEC has appointed Kevin Goodman as the associate regional director for Examinations in its Denver regional office. Goodman previously held the same role in the SEC's Los Angeles office. Goodman's exam experience is particularly strong in the regulation of investment companies and investment advisers.

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The Securities and Exchange Commission today announced the appointment of Kevin Goodman as the Associate Regional Director for Examinations in its Denver Regional Office. Mr. Goodman, who currently holds the position of Assistant Regional Director for Examinations in the Los Angeles Regional Office, will transfer to the Denver office and oversee its examination activities in the region’s seven-state territory.

Lori Richards, Director of the Office of Compliance Inspections and Examinations, said, “Kevin Goodman is an excellent choice for this position. He is immensely well-regarded throughout the Commission, has outstanding skills as an examiner and has an established track record as an informed, fair and effective regulator. He joins an outstanding team of examiners in Denver.”

George Curtis, Director of the Denver Regional Office, said, “Kevin brings a wealth of experience and demonstrated management ability to this newly created position. We are delighted to have him join this office and look forward to working with him.”

Mr. Goodman has more than 15 years of experience in the Commission’s exam program, with particular emphasis on the regulation of investment companies and investment advisers. He has extensive knowledge and experience with compliance issues affecting the asset management and investment community.

Mr. Goodman said, “The 15 years I have spent with the Los Angeles Regional Office have been more rewarding and challenging than I could have imagined. I feel very fortunate to have this opportunity and look forward to working with the talented staff in Denver.”

Prior to joining the Los Angeles staff in 1992, Mr. Goodman practiced with Fried, Frank, Harris, Shriver & Jacobson as an associate in their Corporate/Securities group. Mr. Goodman received his J.D. degree in 1985 from Indiana University-Bloomington, and his Bachelor of Science degree in accounting from Purdue University in 1982.  

Edited by: Erin Kello


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