Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office
- Written by Newsfile
Washington, D.C.--(Newsfile Corp. - November 19, 2020) - The Securities and Exchange Commission today announced that Lourdes Caballes and Michael Rufino have been named Associate Directors of the Office of Compliance Inspections and Examinations (OCIE) Broker-Dealer Examination Program in the New York Regional Office. Together, Ms....