Michael Rufino

Exec. Vice President and Head of FINRA Member Regulation—Sales Practice


Michael Rufino is Executive Vice President responsible for overseeing FINRA’s Sales Practices program. Prior to serving in this capacity, Mr. Rufino was the Chief Operating Officer in Member Regulation Sales Practice at FINRA. Mr. Rufino has served in many different management roles in his 30+ years in regulation. He has been involved in various industry initiatives throughout his career including serving as a member of the Continuing Education (CE) Council, the creation of Electronic Communications Guidance to the industry and as a member of the Social Networking Task Force. Mr. Rufino currently represents FINRA on several of its committees including co-chairing the Large Firm Advisory Committee and as a participant in the Clearing Firm Committee. In addition, he has played an active role in the development of FINRA’s anti-money laundering examination program and 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.

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