Nick Losurdo

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

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Unclaimed

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Organization: Goodwin Procter

FINRA Urges Firms to Focus on Succession Planning

FinReg + Policy Watch · November 15, 2022

SEC Revamps Broker-Dealer Recordkeeping Requirements; “Audit Trail” Alternative Replaces “WORM” Format

FinReg + Policy Watch · November 15, 2022

FINRA Focused on Registered Reps Named as Beneficiaries and Trustees for Customer Accounts

FinReg + Policy Watch · November 15, 2022

FINRA on Reg. BI Compliance: There is “No One-Size Fits All” Approach

FinReg + Policy Watch · November 15, 2022

SEC and CFTC Send Powerful Message with $2 Billion in Fines Related to Social Media and Text Recordkeeping Lapses

FinReg + Policy Watch · November 15, 2022