Peter W. LaVigne

Securities & broker-dealer regulatory lawyer. Goodwin Procter Partner. Ex-chair of NYSBA Securities Regulation Committee. Job: make complex regulation simpler.

[Peter W. LaVigne @pwlavigneesq]

Congratulations to Jay Clayton on confirmation as SEC Chair. I knew him at S&C. Knowledgeable and respectful of SEC mission. He'll be great.

[Peter W. LaVigne @pwlavigneesq]

@MarcHochstein I hearted the March for Sophistry by mistake. Is science march absurd? The absurdity is that it's even necessary.

[Peter W. LaVigne @pwlavigneesq]

The unexpected death of Judge Sheila Abdus-Salaam comes as a shock and a deeply felt loss. She was a colleague, a friend and a great jurist.

[Peter W. LaVigne @pwlavigneesq]

2/2 Financial EO - Quite broad though except Treasury report in 120 days. Also, "prevent taxpayer-funded bailouts." Yes, but how?

[Peter W. LaVigne @pwlavigneesq]

POTUS EO on Core Principles for Reg'ing Financial System: finally a sophisticated drafter ("moral hazard and information asymmetry"!)... 1/2

[Peter W. LaVigne @pwlavigneesq]

Unregistered issuer employee is an "associated person of a broker" for Sec. 15(b)(6) sanctions: SEC re Perres https://t.co/9ElTJosMqu

[Peter W. LaVigne @pwlavigneesq]

Holy annelid! CFTC proposes to de-WORM record-keeping requirements. https://t.co/2Tx3toYUit Let the new technology in. Your move, SEC.

[Peter W. LaVigne @pwlavigneesq]

Idea: amend CHOICE Act https://t.co/UiUiogmc9N M&A broker exemption to permit use by PE fund manager and employees in transactions by fund.

[Peter W. LaVigne @pwlavigneesq]

CHOICE Act https://t.co/UiUiogmc9N Sec 1001 would bar M&A broker from holding, transmitting or having custody of funds or securities.

[Peter W. LaVigne @pwlavigneesq]

CHOICE Act https://t.co/UiUiogmc9N M&A broker exemption (unlike no-act) would not bar broker from providing financing for the transaction.

[Peter W. LaVigne @pwlavigneesq]

CHOICE Act https://t.co/UiUiogmc9N Sec 1001 would create M&A broker exception similar to M&A Broker no action letter but with differences...

[Peter W. LaVigne @pwlavigneesq]

Let's talk about the securities law provisions of the Financial CHOICE Act, HR 5983 https://t.co/UiUiogmc9N starting with new exemptions...

[Peter W. LaVigne @pwlavigneesq]

@WSJ @KCarliniKing If I lived in NJ (I live close enough to listen to WBGO) I would want Christie to study how to make NJ govt work better.

[Peter W. LaVigne @pwlavigneesq]

@m_delamerced Somehow, "haters gonna hate" is not tautological but "haters gonna hate, lovers gonna love" is. Go figure.

[Peter W. LaVigne @pwlavigneesq]

SEC allows Rule 506(c) general solicitation less than 6 months after no-gen-soc 506(b) offering in C&DI Q 256.34: https://t.co/CxxddEDAfg

[Peter W. LaVigne @pwlavigneesq]

We'll discuss Blackstreet Capital and BD registration at the Navatar webinar Nov. 1 at 11 ET. Free registration: https://t.co/QbwX9rK2TE

[Peter W. LaVigne @pwlavigneesq]

I'm speaking 11/1 at 11 am ET on a webinar on the PE fund broker registration issue. Free registration: https://t.co/QbwX9rK2TE

[Peter W. LaVigne @pwlavigneesq]

See my Q & A on the new #CABRules: https://t.co/JajIukxwUT Bar on private securities transactions may be a serious problem for some CABs.

[Peter W. LaVigne @pwlavigneesq]

CABs will have reduced compliance obligations under #CABRules; some say not reduced enough. No secondary sales, alas https://t.co/0j4SDDJfDK

[Peter W. LaVigne @pwlavigneesq]

#CABRules are for private placement and M&A brokers with institutional or qualified purchaser clients only https://t.co/0j4SDDJfDK