SEC Compliance Outreach Program

Denver Regional Office

Denver, CO

October 24, 2023

Agenda

Registration and Networking (7:30 – 8:00 am)   

Welcome and Opening Remarks (8:00 – 8:15 am)  
          Jason Burt, Regional Director, Denver Regional Office
          Tom Piccone, Associate Regional Director, DRO Examination Program

Panel 1:  Examination Program Priorities and Initiatives (8:15 – 9:15 am)  
         Jason Morrison, Exam Manager, DRO Examination Program 
         Craig Ellis, Exam Manager, DRO Examination Program 
         Jessica Bisignano, Attorney Adviser, DRO Examination Program 
         Tom Piccone, Associate Regional Director, DRO Examination Program (Moderator)

Networking Break (9:15 – 9:30 am)  

Panel 2:  Division Updates and Priorities (9:30 – 10:15 am) 
         Jason Burt, Regional Director, Denver Regional Office
         Jennifer Paul, Branch Chief, Office of Chief Counsel, Division of Investment Management
         Denise Saxon, Assistant Regional Director, DRO Examination Program (Moderator)

Panel 3:  Marketing Rule (10:15 – 11:00 am)  
         Matt Todd, Securities Compliance Examiner, DRO Examination Program 
         Shannon Seiferth, Regulatory Counsel, DRO Examination Program
         Chris Mulligan, IA/PF Adviser, Office of Chief Counsel, Division of Examinations
         Kenny Bossert, Assistant Regional Director, DRO Examination Program (Moderator)

Networking Break (11:00-11:15 am)

Panel 4:  The Examination Process (11:15 – 11:55 am)   
         Jeb Wildschut, Securities Compliance Examiner, DRO Examination Program 
         Adam Shatek, Exam Manager, DRO Examination Program 
         Nick Madsen, Assistant Regional Director, DRO Examination Program (Moderator)

Closing Remarks (11:55 – 12:00 pm)    
         Jason Burt, Regional Director, Denver Regional Office
         Tom Piccone, Associate Regional Director, DRO Examination Program