FINRA Names Two New Heads of Member Regulation (with Lofchie Comment)

FINRA has announced that Mike Rufino will become Head of Member Regulation - Sales Practice - and Bill Wollman will become Head of Member Regulation - Risk Oversight and Operational Regulation ("ROOR"). Rufino and Wollman will report to Susan Axelrod, FINRA Executive Vice President of Regulatory Operations.

Lofchie Comment: Congratulations to Messrs. Rufino and Wollman, both dedicated financial regulators.

See: FINRA News Release.