The Financial Industry Regulatory Authority (Finra) has appointed Mike Rufino head of member regulation - sales practice, responsible for ongoing surveillance and examinations, both routine and investigative, of Finra-regulated securities firms across the US. Rufino was previously head of the sales practice regulatory unit at the New York Stock Exchange, which became part of Finra in 2007. He will report to Susan Axelrod, executive vice-president of regulatory operations.
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The week on Risk.net, July 7-13, 2018Receive this by email