Michael Rufino

Michael G. Rufino, National Associate Director – National Broker-Dealer/Exchange Program and Associate Regional Director in the New York Regional Office, U.S. Securities and Exchange Commission (SEC)

Michael G. Rufino is the National Associate Director of the SEC’s Broker-Dealer/Exchange Program in the Division of Examinations (EXAMS) responsible for overseeing the national examination program of broker-dealers, exchanges, municipal advisors, transfer agents and funding portals registered with the SEC.  Michael is also an Associate Regional Director in the New York Regional Office (NYRO) of the SEC in EXAMS where his responsibilities include overseeing SEC registered broker-dealers, municipal advisors and transfer agents located in New York and New Jersey. In addition, Michael is the Associate Director in the Office of Security-Based Swaps overseeing SEC registered security-based swap dealers and major security-based swap participants.

Before joining the SEC, Michael was an Executive Vice President in Member Supervision at the Financial Industry Regulatory Authority (FINRA) responsible for overseeing their Sales Practice/Business Conduct Program, which included overseeing the risk monitoring and examination programs for FINRA member firms, their branch offices and associated persons. Prior to his role as Executive Vice President, Mr. Rufino held the roles of Senior Vice President, Deputy and Chief Operating Officer in FINRA’s Member Supervision Sales Practice Program. Before joining FINRA, Mr. Rufino held the roles of Senior Vice President, Vice President and Managing Director in the New York Stock Exchange’s Member Regulation Program.

Mr. Rufino received his B.B.A. in Finance magna cum laude and Masters in Managing Information Systems with honors from Iona College. He is also a CAMS certified anti-money laundering specialist.