Nick Losurdo advises financial institutions, public companies, startups, and investors on regulatory, policy, transactional, enforcement, and strategic matters. Mr. Losurdo recently served at the SEC as Counsel to one of the Commissioners. He approaches each engagement with the deep and diverse experience he has developed serving in high level roles in government, in-house, and private practice.

Mr. Losurdo counsels his clients in areas including:

  • Broker-dealers, ATSs, equity and option exchanges, and investment advisers regarding rules and regulations of the SEC, FINRA, state regulators, equity and option exchanges, clearing organizations, and other SROs.
  • Technology and other companies, including in the areas of fintech, and blockchain/crypto/digital currency (such as compliance with federal and state regulations).
  • Private equity and venture funds during strategic and financial acquisitions, dispositions, and restructurings.

Before returning to Goodwin, Mr. Losurdo served at the SEC, where he was immersed in agency matters as Counsel to one of the Commissioners. While at the SEC, Nick advised the Commissioner on a broad array of legal, policy and regulatory matters, including proposed and final rulemaking, interpretations and exemptive relief, and enforcement matters. Among other significant matters, Mr. Losurdo advised on rulemaking relating to Regulation Best Interest, Form CRS, and the investment adviser standard of conduct interpretation; changes to Regulation NMS in the area of market data and order handling disclosures and other market structure policy considerations; Title VII under the Dodd-Frank Act; and blockchain and digital assets.

Mr. Losurdo regularly assists clients in the following areas:

  • Providing advice regarding compliance with FINRA rules, including in the areas of personnel registration and licensing, sales practices, trading and trade reporting, supervision, advertising, elder financial protection, new product diligence (including digital assets), and net capital and customer protection.
  • Assisting with responses to regulatory investigations, exams, and inquiries.
  • Registering new broker-dealers and guiding existing broker-dealers through changes of control and material business expansions.
  • Counseling issuers and placement agents in regard to securities offerings, both registered and exempt.
  • Developing trading, new product, and other rule filings for equity and option exchanges.

Experience

工作经历

EXPÉRIENCE

ERFAHRUNG

Mr. Losurdo frequently interacts with the staff of the SEC, FINRA, and various other regulators, agencies, and SROs, including the MSRB, exchanges, OCC, and DTCC, including in the following areas:

  • Lead regulatory counsel on several dozen successful transactions involving the purchase or sale of broker-dealers, exchanges, investment advisers, and other financial institutions. The targets in these transactions range from small, independent broker-dealers and RIAs to some of the largest firms in the U.S. and global exchange platforms.
  • Advising equity and option exchanges on several hundred rulemaking initiatives.
  • Registration of several new broker-dealers and ATSs including handling formation, FINRA membership, SEC registration, and ongoing compliance with applicable rules and regulations.

Mr. Losurdo’s broker-dealer clients turn to him on a daily basis for practical guidance on a variety of topics, including Regulation Best Interest; order handling; trade execution (including Best Ex) and reporting (including swap reporting); the SEC’s “Market Access Rule” (Rule 15c3-5); Regulation NMS; market making; clearing; communications with the public and disclosures; net capital and other financial and operational matters; AML; cybersecurity; crowdfunding; fixed income matters (including markups/downs); suitability; new business initiatives (including FINRA Continuing Membership Applications); licensing, registration and compensation of personnel; supervision and WSPs; customer statements and confirms; offerings and underwriting; and internal inspections and annual audits.

Mr. Losurdo advises clients in relation to SEC and FINRA examinations, investigations, and enforcement actions.

Professional Activities

Mr. Losurdo is a member of the American Bar Association, the Boston Bar Association, and the DC Bar Association.

Professional Experience

Mr. Losurdo has served in high-level government, private practice, and in-house roles. Before returning to Goodwin, he served at the SEC as Counsel to one of the Commissioners. While at the SEC, he advised the Commissioner on a broad array of legal, policy and regulatory matters. Before joining the SEC, Mr. Losurdo was Counsel at Goodwin. Earlier, he was an associate at another global law firm, and before private practice, he was Counsel at an SEC-regulated options exchange, where he was responsible for a broad array of regulatory and corporate legal matters, and regularly worked closely with business and IT colleagues on new business initiatives and the exchange’s technology.

In The News

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ACTUALITÉS

MELDUNGEN

Credentials

专业资格

RÉFÉRENCES

WERDEGANG

Education

J.D., 2006
Suffolk University Law School
B.S., Business Administration, 2001
Stonehill College

Admissions

Bar

Massachusetts
District of Columbia
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Our clients rely on us for world-class advisory services, counsel on complex transactional work and high-stakes litigation. Specializing in matters involving the financial, life sciences, private equity, real estate, and technology industries, we use a collaborative, cross-disciplinary approach to resolve our clients’ most challenging issues. To find out more, please contact us.

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Nos équipes interviennent aux côtés de nos clients, industriels, fonds d’investissement, startups, institutions financières et dirigeants, dans le cadre de transactions et de contentieux complexes, et apportent des conseils de tout premier plan dans les secteurs financiers, des Sciences de la Vie, du Private Equity, de l’immobilier et des technologies. Nous traitons les dossiers juridiques de manière intègre, ingénieuse, souple et audacieuse pour répondre efficacement aux enjeux propres à chacun de nos clients, quels que soient la taille de l’opération et le secteur d’activité. Pour en savoir plus, contactez-nous.

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