Compliance Outreach Program

for Broker-Dealers

Washington, DC 

July 14, 2015

Agenda

Registration (8:30 am – 10:30 am)

Welcome and Opening Remarks (10:30 am – 11:00 am)

Mary Jo White, Chair, SEC

Kevin W. Goodman, National Associate Director, Broker-Dealer Examination Program, 

Office of Compliance Inspections and Examinations, SEC

Susan F. Axelrod, Executive Vice President, Regulatory Operations, FINRA

Panel 1: Cybersecurity (11:00 am – 12:00 pm)

Panelists will discuss general examination findings, industry practices including compliance 

with relevant regulations and control functions designed to mitigate cybersecurity risk.

Christopher Hetner, Cybersecurity Lead, Technology Controls Program, Office of Compliance 

Inspections and Examinations, SEC (Moderator)

Lon T. Dolber, Chief Executive Officer, Chief Information Officer, American Portfolio Financial 

Services, Inc.

Jenny Menna, Cybersecurity Partnership Executive, U.S. Bank

Daniel M. Sibears, Executive Vice President, Counsel, Regulatory Operations/Shared Services, FINRA

Lunch will be on your own (12:00 pm – 1: 15 pm)

Panel 2: Anti-Money Laundering (1:15 pm – 2:00 pm)

Panelists will discuss anti-money laundering risks and vulnerabilities including bank-like 

activity, direct market access from high risk jurisdictions, micro-cap securities and suspicious 

activity reporting obligations and expectations. 

Denise Saxon, Assistant Regional Director, Denver Regional Office, SEC (Moderator)

Sterling Daines, Managing Director, Global Compliance Division, Goldman, Sachs & Co.

Sarah Green, Senior Director, Enforcement, FINRA

Pamela K. Ziermann, Senior Vice President, Dougherty & Company LLC

Break (2:00 pm – 2:15 pm)

Panel 3: Firm and Branch Supervision and Sales Practices (2:15 pm – 3:30 pm) 

Panelists will discuss supervisory practices and reviews relating to outside business activities,

disclosures, recidivist behavior, customer complaints and churning. Discussions will also 

include activity in retirement accounts and concerns relating to senior investors.

Michael Rufino, Executive Vice President, Head of Member Regulation – Sales Practice, FINRA

(Moderator)

Gloria Greco, Managing Director, Co-Chief Compliance Officer, Bank of America-Merrill Lynch, 

Pierce, Fenner & Smith Inc.

Daniel Gregus, Associate Regional Director, Broker-Dealer Examination Program, Chicago 

Regional Office, SEC

Marion S. Halliday, Senior Vice President, Chief Compliance Officer, Janney Montgomery Scott LLC
Break (3:30 pm – 3:45 pm)

Panel 4: Insights from SEC and FINRA Examination Programs (3:45 pm – 4:15 pm) 

Senior leaders from the SEC and FINRA examination programs discuss a range of topics 

affecting broker-dealers from a firm and branch office perspective.

Kevin W. Goodman, National Associate Director, Broker-Dealer Examination Program, 

Office of Compliance Inspections and Examinations, SEC

Bill Wollman, Executive Vice President, Member Regulation – Risk Oversight and Operational 

Regulation (ROOR), FINRA

Closing Remarks (4:15 pm – 4:30 pm) 

Kevin W. Goodman, National Associate Director, Broker-Dealer Examination Program, 

Office of Compliance Inspections and Examinations, SEC

Michael Rufino, Executive Vice President, Head of Member Regulation - Sales Practice, FINRA