Executive Vice President, Head of FINRA Member Regulation—Sales Practice
Michael Rufino is Executive Vice President and Head of FINRA Member Regulation—Sales Practice. In this capacity, he is responsible for overseeing FINRA’s Sales Practices program, which includes the Membership Application Program.
Prior to serving in this capacity, Mr. Rufino was the Chief Operating Officer in Member Regulation Sales Practice. Mr. Rufino has been involved in various industry initiatives throughout his career in regulation. Mr. Rufino currently represents FINRA on several industry committees, including the Bank Secrecy Act Advisory Group sub-committees on Securities/Futures and SAR Reporting. He is currently FINRA’s representative on the International Organization of Securities Commissions’ (IOSCO) Committee 3 on Intermediaries.
He has also served as a member of the Continuing Education (CE) Council, assisted in the creation of Electronic Communications Guidance to the industry and served as a member of the Social Networking Task Force. In addition, he participated in the Financial Action Task Force’s (FATF) initiative to create guidance on the risk-based approach to the prevention of money laundering and terrorist financing as well as the FATF Typology on the Securities Industry.
Mr. Rufino graduated magna cum laude from Iona College with a degree in finance, and received his MBA with honors in management information systems from Iona.