FacultyFaculty/Author Profile
Kevin W. Goodman

Kevin W. Goodman

U.S. Securities and Exchange Commission
Associate Director, FINRA and Security Industry Oversight (FSIO), Office of Compliance Inspections and Examinations
Washington, DC, USA


Kevin W. Goodman leads the U.S. Securities and Exchange Commission’s FINRA and Securities Industry Oversight group (“FSIO”), which is responsible for comprehensive oversight of FINRA, including conducting oversight examinations of broker-dealers to assess the quality of FINRA’s examinations, as well as inspecting all areas of FINRA’s operations.  FSIO also oversees the MSRB.  In addition, Mr. Goodman serves as a member of the Executive and Operating Committees for the SEC’s National Examination Program.  Prior to assuming his current role, Mr. Goodman led the SEC’s National Broker-Dealer Examination Program for over three years.  Mr. Goodman’s SEC experience also includes having 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 SEC staff, Mr. Goodman practiced corporate and securities law in the private sector with an emphasis on mergers and acquisitions.
Kevin W. Goodman is associated with the following items:
Web Segment  Web Segment Compliance Inspections and Examinations - SEC Speaks in 2017, Tuesday, February 28, 2017
MP3 Audio  MP3 Audio Compliance Inspections and Examinations - Compliance Inspections and Examinations, Tuesday, February 28, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance Inspections and Examinations - Compliance Inspections and Examinations, Tuesday, February 28, 2017
On-Demand Web Programs  On-Demand Web Programs SEC Speaks in 2017, Friday, March 03, 2017, Washington, DC
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