Mr. LaVigne's experience includes the registration of new broker-dealers, as well as advice concerning exemptions from registration, mergers and acquisitions involving broker-dealers and the rules of FINRA concerning change in control filings. He represents underwriters and placement agents with respect to FINRA rules applicable to public and private offerings, including rules governing new issues, 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. He advises issuers on the use of securities exemptions and assists them in structuring agreements with placement agents and arrangements with third-party brokers permitting the registration of issuer employees on an independent contractor basis.
Mr. LaVigne also 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.