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Lourdes Caballes

Lourdes Caballes

Associate Regional Director, Division of Examinations, U.S. Securities and Exchange Commission (SEC)

Lourdes D. Caballes is an Associate Regional Director in the U.S. Securities and Exchange Commission’s New York Regional Office where she has responsibility for overseeing the region’s Broker-Dealer Exchange Program in the Division of Examinations.  She joined the Commission in 1996 and has served in a number of roles, including as Assistant Director for the Clearance and Settlement Examination Program.  Ms. Caballes has managed the examinations of complex registrants, including several of those designated as systemically important financial market utilities.  She received her BS in Business from the College of Mount Saint Vincent and her MBA in Finance and Information & Communications Systems from Fordham University.