Michael Rufino is Executive Vice President and Head of Member Regulation—Sales Practice and has been in regulation for over 30 years. In his current role, he is responsible for overseeing FINRA’s Sales Practice examination and surveillance programs in 14 District offices across the United States as well as the Membership Application Program.
Prior to serving in his current capacity, Mr. Rufino was the Chief Operating Officer in Member Regulation—Sales Practice responsible for the day-to-day execution of the Sales Practice Regulatory Program. He has been involved in various industry initiatives throughout his career in regulation involving electronic communications and anti-money laundering.
Mr. Rufino has also served as a member of the Securities Industry Continuing Education (CE) Council and participated in the Financial Action Task Force’s (FATF) initiative to create guidance on the risk-based approach to the prevention of money laundering and terrorist financing as well as the FATF Typology on the Securities Industry. He previously served as FINRA’s representative on International Organization of Securities Commissions’ (IOSCO) Committee 3 on Intermediaries.
Mr. Rufino graduated magna cum laude from Iona College with a degree in finance, and received his MBA with honors in management information systems from Iona.