Nick Losurdo

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

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Unclaimed

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Organization: Goodwin Procter

Broker-Dealer Compliance With Revamped Recordkeeping Requirements Begins May 3, 2023; FINRA Publishes Chart of “Most Significant Changes”

FinReg + Policy Watch · February 8, 2023

FINRA 2023 Examination and Risk Monitoring Report Highlights Numerous Risk Areas for Brokers

FinReg + Policy Watch · February 8, 2023

SEC EXAMS Division Publishes Reg. BI Risk Alert

FinReg + Policy Watch · February 8, 2023

New Federal M&A Broker Exemption is a Big Deal!

FinReg + Policy Watch · February 7, 2023

SEC Regulatory Agenda Showcases 52 Proposed and Final Rules by Spring 2023

FinReg + Policy Watch · February 7, 2023