SEC Hires FINRA Vet, Promotes Another For NY Broker Exams

Law360 (November 19, 2020, 7:09 PM EST) -- The U.S. Securities and Exchange Commission on Thursday named two new associate directors of its Office of Compliance Inspections and Examinations' broker-dealer examination program in New York, including a former executive with the Financial Industry Regulatory Authority.

Lourdes Caballes and Michael Rufino will head up the program, which includes nearly 80 accountants, examiners and attorneys responsible for inspecting SEC-registered broker-dealers in New York and New Jersey. The pair succeeds Robert Sollazzo, who retired in July after 38 years with the SEC, the agency said.

Caballes has been an assistant director with OCIE's clearance and settlement examination program since December 2016, after...

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