X

FINRA Executive Vice President to Step Down

FINRA Executive Vice President Michael Rufino will step down from his role at the end of 2020.

Mr. Rufino oversaw FINRA's Sales Practice Examination, Risk Monitoring and Membership Application Programs as Head of Member Regulation (Sales Practice), and also represented FINRA as a securities regulator for FinCEN's Bank Secrecy Act Advisory Group.

Primary Sources

  1. FINRA Press Release: FINRA Executive Vice President Michael Rufino Announces Departure

Tags

Regulated Activities
Governance
Sub-Activity
Regulatory Personnel Changes
Regulated Entities
Regulatory Agencies
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA