Peter LaVigne

Peter LaVigne

Goodwin Procter LLP

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FINRA Releases 2016 Regulatory and Examination Priorities Letter

On Jan. 5, 2016, the Financial Industry Regulatory Authority (“FINRA”) issued its annual Regulatory and Examination Priorities Letter (“2016 Examination Letter” or “Letter”), along with a press release from FINRA chairman and...more

1/14/2016 - Conflicts of Interest Corporate Culture Ethics Examination Priorities FINRA Liquidity Risk Management Supervision

Financial Services Weekly News - December 2015 #4

Regulatory Developments - FDIC Rule Amends Filing Requirements and Processing Procedures for Changes in Control - On Dec. 16 the FDIC announced the adoption of a final rule amending the FDIC's filing requirements...more

12/23/2015 - Accredited Investors Bank Secrecy Act Banking Sector Change in Control Enforcement Actions FDIC Federal Reserve Financial Institutions FinCEN FINRA Fraud OCC SEC

Financial Services Weekly News - December 2015 #3

Regulatory Developments - SEC Proposes New Derivatives Rules for Registered Investment Companies and Business Development Companies - On Dec. 11, the SEC proposed new Rule 18f-4 under the Investment Company Act,...more

12/17/2015 - Business Development Companies Derivatives Emerging Growth Companies FBAR FinCEN FINRA Fixing America’s Surface Transportation Act (FAST Act) Forex Investment Companies National Futures Association SEC

Financial Services Weekly News - December 2015 #2

Regulatory Developments - FINRA Proposes to Adopt Capital Acquisition Broker Rules - On Dec. 4 FINRA filed with the SEC a proposal to create a separate rule set that would apply to firms that meet the definition of...more

12/10/2015 - Capital Raising CFPB Community Banks Compliance Enforcement Actions EU European Commission FDIC Federal Reserve Final Rules FINRA Holding Companies Prospectus SEC

Financial Services Weekly News - December 2015

Regulatory Developments - SEC Grants Exemption from Registration as a Clearing Agency to Two Matching Service Providers - On Nov. 24 the SEC approved applications by Bloomberg STP LLC and SS&C Technologies, Inc....more

12/4/2015 - Broker-Dealer Comment Period Federal Reserve FinCEN FINRA MSRB Municipal Advisers No-Action Letters NYDFS Registration Requirement SEC Waiting Periods

Financial Services Weekly News - November 2015 #4

Regulatory Developments - SEC Proposes Amendments to Regulation ATS to Shine a Light on Dark Pools: On Nov. 18 the SEC announced that it had issued Release No. 34-76474 proposing amendments to Regulation ATS,...more

11/25/2015 - Broker-Dealer Dark Pool Deutsche Bank Disclosure Requirements Enforcement Actions FINRA Money Market Funds Proposed Amendments Regulation SHO SEC Volcker Rule

Financial Services Weekly News - November 2015 #3

Regulatory Developments - MSRB Publishes Compliance Advisory for Municipal Advisors: On Nov. 12 the Municipal Securities Rulemaking Board (MSRB) published its first municipal advisor compliance advisory, developed...more

11/19/2015 - Brokered Deposits Crowdfunding Cybersecurity Enforcement Actions False Advertising FDIC FFIEC FINRA MSRB Municipal Advisers NYDFS Regulation NMS SEC

Financial Services Weekly News - November 2015 #2

Regulatory Developments: CFTC and NFA Staff Publish FAQs and Other Resources for Filing and Reporting on Forms CPO-PQR and CTA-PR - On Nov. 5 the Division of Swap Dealer and Intermediary Oversight of the CFTC...more

11/12/2015 - CFTC Chief Compliance Officers CPOs CTA MSRB NFA Outsourcing Risk Alert SEC Voting Requirements VPPA

Financial Services Weekly News - October 2015 #2

Regulatory Developments: FINRA Proposes Rules for Funding Portals - On Oct. 9 FINRA filed with the SEC a proposed rule change to adopt Funding Portal Rules 100 (general standards), 110 (funding portal application),...more

10/15/2015 - CFPB Comment Period Crowdfunding Debt Securities Disclosure Requirements Enforcement Actions Fees Financial Institutions FINRA Funding Portal JOBS Act Kickbacks Marketing Services Agreements Mortgage Lenders Mortgages Pricing Proposed Regulation SEC Structured Financial Products

Financial Services Weekly News - September 2015

Regulatory Developments - California Department of Business Oversight Permits Money Transmitter to Treat Customer Funds in Designated Custodial Account as “Eligible Securities” - The California Department of...more

9/3/2015 - Administrative Procedure Act Anti-Money Laundering Debt Department of Business Oversight Final Rules Financial Institutions FinCEN FINRA Information Reports Investment Adviser Money Laundering Money Transmission Act Money Transmitter Patriot Act Preliminary Injunctions Proposed Regulation SEC

Financial Services Weekly News - August 2015 #4

Regulatory Developments - CFTC Issues Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps: On Aug. 19 the CFTC announced that it had voted to propose amendments to existing...more

8/27/2015 - Administrative Procedure Act CFTC Comment Period Derivatives Clearing Organizations Financial Institutions FINRA First Amendment Government Officials Investment Advisers Act of 1940 NASD OCIE Pay-To-Play Political Contributions Proposed Regulation Risk Alert SEC Swap Data Repositories Swaps

Financial Services Weekly News - August 2015 #3

Regulatory Developments - FinCEN Rules Digital Precious Metal Certificates Provider is a Money Transmitter: On Aug. 14 FinCEN issued a ruling applying its virtual currency rules to an e-precious metals company. The...more

8/20/2015 - Brokers Department of Financial Services Dodd-Frank FCPA FinCEN Pay Ratio SEC Whistleblowers

Financial Services Weekly News - August 2015

Regulatory Developments - SEC Adopts Rules and Forms for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants: On Aug. 5, the SEC voted to adopt registration rules and forms for...more

8/6/2015 - Anti-Money Laundering CEOs Dodd-Frank Fee Waivers Final Rules FINRA Investment Funds Management Fees Pay Ratio Penny Stocks Proposed Regulation SEC Security-Based Swaps Swap Dealers

Financial Services Weekly News Roundup - July 2015 #5

Regulatory Developments - New Hampshire Governor Signs Into Law a Bill Recodifying Banking, Credit Union and Trust Company Laws: On July 28, New Hampshire Gov. Maggie Hassan signed into law SB 188, an act...more

7/30/2015 - Banking Sector Federal Reserve FTC New Legislation Nonbank Firms

Financial Services Weekly News Roundup - July 2015 #4

Regulatory Developments: SEC Approves New Debt Research Rule and Amended Equity Research Rule - On July 16, the SEC approved FINRA Rule 2241, which modifies and clarifies existing rules related to research analysts,...more

7/23/2015 - Banking Sector CFPB CFTC Conflicts of Interest ERISA FDIC Federal Reserve Financial Institutions FINRA OCC Private Student Loans SCOTUS SEC Seed Financing Tibble v Edison Int Volcker Rule

Financial Services Weekly News Roundup - July 2015 #3

Regulatory Developments - CFPB Outlines Guiding Principles for Faster Payment Networks: On July 9, the CFPB released an outline of its guiding Consumer Protection Principles (Principles) for protecting consumers as...more

7/16/2015 - BrokerCheck CFPB CFTC Comment Period Cross-Border Transactions Enforcement ERISA Federal Register FINRA Fund of Funds Investment Company Act of 1940 New Regulations No-Action Letters Payment Systems Proposed Regulation SCOTUS SEC Tibble v Edison Int

Financial Services Weekly News Roundup - July 2015 #2

Regulatory Developments - Agencies Post Public Sections of Resolution Plans: In a July 6 joint press release, the Federal Reserve Board and FDIC announced that they have posted the public portions of annual...more

7/9/2015 - Auditors Board of Trustees Closed-End Funds Consent Order Diversity and Inclusion Standards (D&I) Enforcement Actions ERISA FDIC Federal Reserve Fiduciary Duty FSOC Joint Policy Statements SCOTUS SEC Tibble v Edison Int Unregistered Brokers

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