Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years

The Securities and Exchange Commission today announced that Robert A. Sollazzo, the longtime leader of the New York Regional Office’s Broker-Dealer Examination Program, is planning to retire from the agency in July after more than 38 years of invaluable contributions. Mr. Sollazzo began his SEC career as a securities compliance examiner and ascended to the helm of the New York office’s broker-dealer regulatory efforts in 1992. As an Associate Regional Director, he and his team have formulated new exam approaches and structured a program that has been particularly responsive and adept in identifying and examining emerging risks in an ever-changing broker-dealer industry. Mr.