Michael Rufino

Associate Director, Office of Compliance Inspections & Examinations Broker-Dealer Examination Program-New York Regional Office at US Securities & Exchange Commission

Michael Rufino

Michael Rufino

Associate Director, Office of Compliance Inspections & Examinations Broker-Dealer Examination Program-New York Regional Office at US Securities & Exchange Commission

Overview
RelSci Relationships

880

Number of Boards

1

Contact Data
Trying to get in touch with Michael Rufino? Subscribe today to access their professional contact information and receive a one time promotion of free Contact Data credits!
Relationships
RelSci Relationships are individuals Michael Rufino likely has professional access to. A relationship does not necessarily indicate a personal connection.

Head, Office of Financial & Operational Risk Policy-Office of General Counsel at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President & Chief Financial Officer at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President & Chief Information Officer at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President & Chief Legal Officer at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Chief Economist & Senior Vice President at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President & Director, Dispute Resolution Services at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Former Chief Regulatory Officer at NYSE Group, Inc.

Relationship likelihood: Strong

Executive Vice President, Market Regulation & Transparency Services at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President, Member Regulation Programs at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Governor at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Paths to Michael Rufino
Potential Connections via
Relationship Science
You
Michael Rufino
Associate Director, Office of Compliance Inspections & Examinations Broker-Dealer Examination Program-New York Regional Office at US Securities & Exchange Commission
Career History
Associate Director, Office of Compliance Inspections & Examinations Broker-Dealer Examination Program-New York Regional Office
2020 - Current

The U.S. Securities and Exchange Commission (SEC) is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes. The SEC was created by Section 4 of the Securities Exchange Act of 1934.

Executive Vice President & Head of Member Regulation-Sales Practice
Prior

The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest independent regulator of securities firms doing business with the public in the United States. Our core mission is to pursue investor protection and market integrity, and we carry it out by overseeing virtually every aspect of the brokerage industry. All told, FINRA oversees about 4,245 brokerage firms, about 162,230 branch offices and approximately 630,150 brokers. With approximately 3,400 employees, we are the first line of defense for investors—working in communities all across the nation.

Executive Vice President
Prior

FINRA REGULATION IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY.

This web site is not endorsed by, directly affiliated with, maintained, authorized, or sponsored by Michael Rufino. The use of any trade name or trademark is for identification and reference purposes only and does not imply any association with the trademark holder. The Presence of Michael Rufino's profile does not indicate a business or promotional relationship of any kind between RelSci and Michael Rufino.