Michael Rufino
National Associate Director – National Broker-Dealer/Exchange Program, U.S. Securities and Exchange Commission
Michael G. Rufino is the National Associate Director of the SEC’s Broker-Dealer/Exchange Program within the Division of Examinations (EXAMS). In this capacity, Michael leads the nationwide examination program for broker-dealers, national securities exchanges, municipal advisors, transfer agents, funding portals, SIPC, and security-based swap entities registered with the SEC.
Before joining the SEC, Michael served as Executive Vice President of Member Supervision at the Financial Industry Regulatory Authority (FINRA), where he directed the Sales Practice/Business Conduct Program, overseeing risk monitoring and examination programs for member firms, branch offices, and associated persons. His tenure at FINRA also included senior leadership roles such as Senior Vice President, Deputy, and Chief Operating Officer within Member Supervision.
Earlier in his career, Michael held key regulatory positions at the New York Stock Exchange (NYSE), including Senior Vice President, Vice President, and Managing Director in its Member Regulation Program.
Michael earned a B.B.A. in Finance (magna cum laude) and a Master’s in Managing Information Systems (with honors) from Iona College. He is also a Certified Anti-Money Laundering Specialist (CAMS).