Nick Losurdo

ID: 1b83fd67-2619-30fb-68c4

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Unclaimed

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Organization: Goodwin Procter

SEC Division of Examinations Publishes Observations from its Registered Investment Company Initiatives

FinReg + Policy Watch · November 3, 2021

FINRA Adds Continuing Membership Application Requirement to Address Brokers With a History of Misconduct

FinReg + Policy Watch · July 23, 2021

Time’s Up! Broker-Dealers Must Comply with the Customer Protection Rule When Borrowing Customer Securities

FinReg + Policy Watch · April 21, 2021

CFTC Announces New Climate Risk Unit — the “CRU”

FinReg + Policy Watch · March 19, 2021

Climate Clash at the Commission?

FinReg + Policy Watch · March 10, 2021