Nick Losurdo advises broker-dealers, equity and option exchanges, investment advisers and ATSs on various regulatory, compliance, transactional and enforcement matters. He also utilizes his diverse capital markets and financial services experience to guide private equity funds through strategic and financial acquisitions, dispositions and restructurings involving these financial institutions. Clients look to Nick for insight on SEC rules and regulations, FINRA’s rules and membership, and the membership and compliance requirements of state regulators, equity and option exchanges, clearing organizations and other SROs.
