Peter LaVigne

Peter LaVigne

Goodwin Procter LLP

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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 Services Industry 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 Fiduciaries FSOC Joint Policy Statements SCOTUS SEC Tibble v Edison Int Unregistered Brokers

Financial Services Weekly News Roundup - July 2015

Regulatory Developments - FINRA Proposes Rule to Require Member Websites to Link to BrokerCheck: FINRA has proposed an amendment to FINRA Rule 2210 to require each of a member’s websites to include a readily...more

7/2/2015 - BrokerCheck Brokers CFTC Cross-Border Transactions Cybersecurity ERISA FFIEC FIfth Third Bancorp v Dudenhoeffer Financial Institutions Financial Services Industry FINRA Investment Adviser Margin Requirements Material Nonpublic Information Reporting Requirements Statute of Limitations

Financial Services Weekly News Roundup - June 2015 #4

Regulatory Developments - Client Alert: SEC Proposes Pay for Performance Rules: Goodwin Procter’s Capital Markets practice has issued a Client Alert on the SEC’s proposed rule that would require most public...more

6/25/2015 - Board of Directors Broker-Dealer Cybersecurity Data Protection Distributed Denial of Service Dodd-Frank Enforcement Enforcement Actions Executive Compensation FINRA Flood Insurance Investment Adviser Lenders Morgan Stanley Municipal Bonds OCIE Proxy Statements Publicly-Traded Companies SEC Secured Lenders Security-Based Swaps Swaps

Financial Services Weekly News Roundup - May 2015 #5

SEC Enforcement Action on FCPA Compliance – Check the Box Is Not Enough. On May 20 the SEC announced that global resources company BHP Billiton had agreed to pay $25 million to settle charges that it had violated the...more

5/28/2015 - BHP Billiton Breach of Duty Credit Default Swaps Enforcement Actions ERISA FCPA FINRA Institutional Investors Mutual Funds Olympics Pensions Proposed Amendments Public Pension Rulemaking Process SCOTUS SEC Statute of Limitations Tibble v Edison Int

Financial Services Weekly News Roundup - May 2015 #3

SEC Proposals to Enhance Investment Company and Investment Adviser Reporting: As we went to press, the SEC commissioners announced that they had voted to approve two proposals. The first was for new and amended rules and...more

5/22/2015 - Banks Community Banks Conflicts of Interest DOL Enforcement Actions Fiduciary Standard Investment Adviser Investment Funds Morgan Stanley OCIE Private Equity Funds SEC Volcker Rule

Financial Services Weekly News Roundup - May 2015 #2

Senator Shelby Releases Discussion Draft of Financial Regulatory Bill. On May 12 Senator Richard Shelby, the Chairman of the Senate Committee on Banking, Housing, and Urban Affairs, announced that the Committee had...more

5/15/2015 - Anti-Money Laundering Broker-Dealer CFPB Financial Regulatory Reform FinCEN Foreign Direct Investment Industry Examinations NYDFS Proposed Legislation Virtual Currency

Financial Services Weekly News Roundup - May 2015

In This Issue – More on the SEC Whistleblower Program. In the April 8 issue of the Roundup we reported on the SEC’s administrative proceedings based on findings that restrictive language in a form confidentiality...more

5/7/2015 - Enforcement Actions Executive Compensation Hedge Funds Internal Investigations Investment Adviser Pay-for-Performance SEC Whistleblower Awards Whistleblowers

Financial Services Weekly News Roundup - April 2015 #5

Ninth Circuit Denies Rehearing of Northstar v. Schwab. On April 28, the U.S. Court of Appeals for the Ninth Circuit denied the petition of Schwab Investments’ (Schwab) for rehearing and rehearing en banc in the case of...more

4/30/2015 - 401k Broker-Dealer Convertible Debt Enforcement Enforcement Actions ERISA Fiduciary Duty Financial Institutions FINRA Insurance Companies Investment Adviser Investment Company Act of 1940 Money Market Funds Municipal Advisers Ontario Securities Commission Petition for Writ of Certiorari SCOTUS SEC Trustees

Financial Services Weekly News Roundup - April 2015 #4

FINRA’s Retrospective Rule Review Process Continues. On April 16, FINRA announced that the FINRA Board of Governors had authorized FINRA to publish a regulatory notice requesting comment on proposed amendments to Rules 2210...more

4/23/2015 - BlackRock CFPB Consumer Lenders Credit Card Agreements Cuba Disclosure Requirements Federal Reserve Filing Requirements FINRA MSRB Municipal Advisers OFAC Proposed Amendments Quicken Loans SEC SIFIs Supervision

Financial Services Weekly News Roundup - April 2015 #3

DOL Fiduciary Standard Proposal. The Department of Labor issued a notice of proposed rulemaking including a definition of the term “fiduciary,” a conflict of interest rule for retirement investments, new exemptions and...more

4/16/2015 - Australia Bank Holding Company Capital Rules Conflicts of Interest DOL Federal Reserve Fiduciary Standard Investment Adviser NPRM Pay-To-Play Prudential Regulation Authority Retirement Plan SEC

Financial Services Weekly News Roundup - April 2015 #2

The SEC Acts to Protect Whistleblowers Against Restrictive Confidentiality Provisions. In a development that should send HR directors and general counsels to review their form confidentiality agreements, the SEC announced...more

4/9/2015 - Asset Valuations Collateralized Loan Obligations Confidentiality Agreements Investment Adviser Investment Funds Iran Sanctions KBR (formerly Kellogg Brown & Root) Nuclear Weapons OFAC Rule 21F SEC Subordination

Financial Services Weekly News Roundup - April 2015

FINRA Requests Comment on Current Membership Application Rules. As part of its ongoing retrospective rule review process, FINRA has published, in Regulatory Notice 15-10, a request for comment on the effectiveness and...more

4/2/2015 - Broker-Dealer CFPB Custody Rule ERISA FINRA NASD Payday Loans SEC Shareholder Proposals

Financial Services Weekly News Roundup - March 2015 #4

Focus on Fiduciary Standards. In February the President’s Council of Economic Advisers (CEA) issued a Report on the Effects of Conflicted Investment Advice on Retirement Savings. In its conclusion, the Report estimated the...more

3/27/2015 - CEA DOL Fiduciary Duty Information Reports Investment Adviser Proposed Amendments Retirement Plan SIFMA

Financial Services Weekly News Roundup - March 2015 #3

SEC Focus on Disqualification Waivers. When negotiating a settlement of an SEC enforcement action against a registered financial services firm – or one that hopes one day to become registered – it is vital to consider the...more

3/19/2015 - Banking Sector CFPB CFTC Disqualification Enforcement Actions Federal Reserve FINRA Regulation A Regulation D Safe Harbors SEC

Financial Services Weekly News Roundup - March 2015 #2

SEC Spotlight on Broker-Dealer Supervision of Outside Business Activities of Registered Representatives. In this issue we report on the SEC’s settled administrative proceedings against H.D. Vest Investment Securities,...more

3/12/2015 - Accredited Investors Arbitration Broker-Dealer CFPB Enforcement Actions FSB G-SIFI IOSCO SEC

Financial Services Weekly News Roundup - March 2015

Federal Regulators Address the Scope of the Marketing Restriction in the Volcker Rule SOTUS Exemption. The federal regulatory agencies responsible for implementing the Volcker rule—The Federal Reserve Board, the...more

3/5/2015 - Covered Funds Exemptions Federal Reserve Foreign Banks Nonbank Firms Trade Restrictions Volcker Rule

Financial Services Weekly News Roundup - February 2015 #4

FDIC Study Shows Branch Banking Has Staying Power: Has your smartphone displaced your bank? According to an FDIC study released on February 19, traditional brick-and-mortar offices are maintaining their primacy, despite...more

2/26/2015 - Advertising Banks Brokers Compliance ERISA FBAR FDIC Financial Analysts FinCEN FINRA Mobile Banking NASD OCC Registered Funds SEC

Financial Services Weekly News Roundup - February 2015 #3

The Impact of Regulation on Community Banks: Harvard Study and Senate Banking Committee Hearing Highlight Differing Views. FDIC Director of Risk Management Supervision Doreen Eberley testified last week before the Senate...more

2/19/2015 - Alternative Investment Funds Alternative Mutual Funds Bad Actors Banking Sector CFTC Commodity Pool Community Banks Dodd-Frank Municipal Securities Market SEC Senate Banking Committee

Financial Services Weekly News Roundup - February 2015 #2

Editor’s Note - FDIC Highlights Efforts to Provide Regulatory Relief for Community Banks: On February 10, 2015, Doreen Eberley, Director at the Federal Deposit Insurance Corporation (FDIC), testified before the U.S....more

2/12/2015 - Banking Sector Bitcoin BitLicense Community Banks FDIC Filing Deadlines Hedging Nonbank Firms NYDFS Proxy Statements SEC Senate Banking Committee

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