Raymond Lombardo
Assistant Director, U.S. Securities and Exchange Commission
Raymond Lombardo is the Assistant Director in the Office of Broker-Dealer Finance (OBDF) within the Division of Trading and Markets (Division). OBDF is responsible for administering the broker-dealer and security-based swap dealer financial responsibility rules. OBDF also reviews margin rules of the self-regulatory organizations, and matters related to the Securities Investor Protection Corporation (SIPC). Raymond is a staff representative to the Financial Stability Board’s Bank Cross Border Crisis Management Group with respect to resolution planning for global, systemically important banks, and he serves as a liaison with U.S and foreign supervisors with respect to resolution matters. Raymond started working at the Commission in 2004 as a staff attorney in the Division and joined OBDF in 2009. He is a graduate of Fordham University and Fordham Law School, where he was an editor of the law review.