Associate Regional Director
- Company:U.S. Securities and Exchange Commission
- Short Bio:Bryan Bennett has been the Associate Regional Director supervising the examination program in the Los Angeles Regional Office of the Securities and Exchange Commission since 2015. His team is responsible for conducting examinations of registered entities including investment advisers, investment companies, broker-dealers, transfer agents, and municipal advisers located in Southern California, Arizona, Nevada, Hawaii, and Guam. Mr. Bennett joined the SEC’s Los Angeles office in 2008 as an examiner and later was named an Exam Manager and Assistant Regional Director, leading numerous teams in the investment adviser and investment company examination program. Mr. Bennett is a graduate of the University of California, Los Angeles and the University of Iowa College of Law. He also has four years of litigation experience in the private sector.
March 3, 2020, 10:00
2020 Regulatory Interchange – March 3