Peter LaVigne

Peter LaVigne

Goodwin Procter LLP

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Financial Services Weekly News Roundup - November 2014 #3

FINRA Requests Comment on Proposed “Pay-to-Play” Rule - FINRA issued Regulatory Notice 14-50 requesting comment on proposed “pay-to-play” and related rules that would regulate in a manner similar to Rule 206(4)-5 under...more

11/20/2014 - Alternative Mutual Funds Anti-Money Laundering Civil Monetary Penalty Crowdfunding Dodd-Frank FINRA Investment Adviser Investment Advisers Act of 1940 Pay-To-Play Proposed Regulation Retroactivity SEC Settlement U.S. Treasury Unregistered Securities Variable Insurance

Financial Services Weekly News Roundup - November 2014 #2

The SEC first proposed a study of the fiduciary obligations of brokers and investment advisers as required by the Dodd-Frank Act in July 2010. The SEC still has not made a decision about the shape of a fiduciary rule for...more

11/13/2014 - Bank Holding Company Act Cybersecurity Dodd-Frank ETMFs Exemptive Relief FDIC Federal Reserve FFIEC FinCEN Leveraged Lending Money Services Business OCC Peer-to-Peer Regulation XX SEC

Financial Services Weekly News Roundup - November 2014

The Day After: There are still a few undecided races but we know that Republicans will control the House and the Senate in the next session of Congress. This may provide an opportunity for more bipartisan legislation in the...more

11/6/2014 - Banks Cross-Border Dodd-Frank EU IRS OCC SEC SIFIs SIFMA

Financial Services Weekly News Roundup - October 2014 #5

In this issue: - In preliminarily denying two exemption requests, the SEC takes a stand for market transparency in ETFs and upholds the arbitrage mechanism that allows market prices to closely track NAVs. -...more

10/30/2014 - ABS Administrative Hearings Arbitrage Asset-Backed Securities Bank Secrecy Act Disclosure Requirements Enforcement Actions ETFs FinCEN FINRA Flood Insurance Flood Zones Money Services Business Municipal Advisers NAV New Regulations Private Equity Funds Proposed Regulation Risk Retention SEC Transparency Virtual Currency

Financial Services Weekly News Roundup - October 2014 #4

Editor’s Note: Bank Regulators Again Looking at Incentive Compensation and Excessive Risks. Federal Reserve Board Governor Daniel Tarullo and New York Federal Reserve President William Dudley spoke on October 20 at a...more

10/23/2014 - Arbitration Arbitrators Banks CFTC CPOs DSIO Enforcement Actions Falsified Documents Federal Reserve FINRA Insider Trading No-Action Relief SEC

Financial Services Weekly News Roundup - October 2014 #3

Editor’s Note - Looking Ahead: December 1 Effective Date for FINRA Consolidated Supervision Rules. The new FINRA Supervision rules, approved by the SEC in December 2013, become effective on December 1, 2014. The new...more

10/21/2014 - Asset-Backed Securities Banks Broker-Dealer DPPs Federal Reserve FINRA ISDA ISDA Master Agreement NASD REITS SEC

Financial Services Weekly News Roundup - October 2014 #2

Spotlight on the MSRB: In the Industry Developments section we report that the SEC, FINRA and the MSRB will be conducting a compliance outreach program for municipal advisors. The Municipal Securities Rulemaking Board was...more

10/9/2014 - CARDS CPOs ETFs FINRA Herballife Insider Trading Investment Adviser Municipal Advisers NFA Pay-To-Play Public Comment SEC

Financial Services Weekly News Roundup - October 2014

Editor’s Note: Spotlight on the Federal Reserve and CSBS 2014 Community Banking Report. On September 24 the Federal Reserve and the Conference of State Bank Supervisors (CSBS) announced the release of their report,...more

10/6/2014 - Banks Compliance CSBS ERISA Financial Regulatory Reform Insider Trading Internal Controls OCC SEC

Financial Services Weekly News Roundup - September 2014 #2

In this Issue: Last week brought news of several enforcement actions by the SEC against investment advisers on a number of issues: Rule 105 of Regulation M, improper withdrawals characterized as management fees, violation of...more

9/25/2014 - Enforcement Enforcement Actions FINRA Regulation M SEC Securities Exchange Act

Financial Services Weekly News Roundup - September 2014

In This Issue: The CFTC provided long-awaited exemptive relief for commodity pool operators that wish to offer their funds in private offerings using general solicitation under Rule 506(c) of the SEC’s Regulation D. ...more

9/18/2014 - CFTC Commodity Pool Compliance CPO Dodd-Frank Enforcement Enforcement Actions OCIE Private Offerings Regulation D Rule 506(c) SEC Securities Act of 1933 Swap Dealers Swaps

SEC Approval of Amendments to FINRA Corporate Financing Rules Will Reduce Burdens on Parties in Public Offerings

The SEC recently approved amendments to simplify and refine the scope of FINRA corporate financing and underwriter conflicts of interest rules. The amendments include modifications that will affect not only underwriters and...more

6/19/2014 - Compliance Conflicts of Interest Corporate Financing Corporate Financing Rule FINRA Public Offerings SEC Underwriting

SEC Provides Relief for Private Company M&A Brokers

On Jan. 31, 2014, the SEC issued a no-action letter that permits private company M&A brokers to avoid registration with the SEC as broker-dealers under certain circumstances. However, business brokers should understand that...more

3/13/2014 - Brokers No-Action Letters SEC

What Banks and Trust Companies Need to Know About the SEC’s New Municipal Advisor Rules

The SEC’s final Municipal Advisor Rules, effective January 13, 2014, apply to many of the advisory services and products provided by banks and trust companies to municipal entities, such as state and local governments, and to...more

11/26/2013 - Banks Municipal Advisers SEC Trusts

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