Michael Solomon

As the head of FINRA’s National Examination Program, Michael Solomon oversees a team of approximately 750 examiners and managers who complete more than 1,000 sales practice and financial exams annually. He also leads the Membership Application Program and the Statutory Disqualification Program.

Mr. Solomon is responsible for overseeing all aspects of the Examinations program, including strategic direction and execution of the program, operations, continuous improvement, and cultivation of key internal and external relationships.

Prior to joining FINRA, Mr. Solomon was the General Counsel and Chief Compliance Officer for Rockefeller Financial LLC. Prior to joining Rockefeller, he spent seven years as the Senior Vice President and Northeast Regional Director for FINRA, where he had responsibility for the examination and surveillance programs in the region and oversaw a staff of 350 people. Prior to his tenure at FINRA, Mr. Solomon had senior legal and compliance roles at several global financial services firms, including Jefferies, UBS and Merrill Lynch. He was also a trial counsel in the NYSE Enforcement Division and began his legal career as an assistant district attorney in Manhattan, where he investigated and prosecuted violent street crime, narcotics trafficking, fraud, and organized crime.

Mr. Solomon received his law degree from New York University School of Law and received a bachelor’s degree from Wesleyan University.