National Associate Director, FINRA and Securities Industry Oversight Examination Program Division of Examinations
Kevin W. Goodman, since 2016, has led the Division of Examinations’ FINRA and Securities Industry Oversight group (“FSIO”), which oversees FINRA and the MSRB. Mr. Goodman joined the SEC staff in 1992, and held prior positions with the SEC as the leader of the National Broker-Dealer Examination Program, as Associate Regional Director of the SEC’s Denver Regional Office, and before that as an Attorney-Adviser, Branch Chief, Senior Special Counsel, and Assistant Director in the examination program in the Los Angeles Regional Office. 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 with an emphasis on mergers and acquisitions.