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...

Stay ahead of the curve

In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.

  • Access to case data within articles (numbers, filings, courts, nature of suit, and more.)
  • Access to attached documents such as briefs, petitions, complaints, decisions, motions, etc.
  • Create custom alerts for specific article and case topics and so much more!


Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!