Nick Losurdo

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

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Unclaimed

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Organization: Goodwin Procter

SEC Proposes Securities Lending Transaction Reporting Requirements

FinReg + Policy Watch · January 24, 2022

SEC Proposes Alternative to “WORM” Books and Records Retention for Broker-Dealers and Security-Based Swap Entities

FinReg + Policy Watch · January 6, 2022

SEC Staff Provides Form CRS Observations, Expectations, and Best Practices

FinReg + Policy Watch · December 29, 2021

SEC Commissioner Roisman to Depart in January

FinReg + Policy Watch · December 22, 2021

FINRA Extends the Registration Qualification Window from Two to Five Years After Termination

FinReg + Policy Watch · December 10, 2021