Mr. LaVigne advises clients in the areas of federal and state securities and broker-dealer regulation, including the registration of new broker-dealers, mergers and acquisitions involving broker-dealers and ongoing compliance responsibilities of broker-dealers. He also represents clients with respect to the rules of FINRA concerning corporate financing and underwriter conflicts of interest.
Mr. LaVigne’s experience includes broker-dealer change in control filings, the rules governing fixed price offerings, IPO allocations and research analysts, trade reporting, Regulation M, Rule NMS and the short sale rules. He has also counseled broker-dealer firms in responding to examinations, inquiries and Wells notices.
Mr. LaVigne advises banks, investment advisers and private fund managers, as well as broker-dealers, concerning the evolving municipal advisor registration requirements and the pay-to-play prohibitions of the SEC and state and local governments.