Taylor Pugliese is an associate in the Financial Institutions Advisory & Financial Regulatory practice.

Taylor provides advice to market participants, including broker-dealers, banks, wealth management organizations, electronic trading platforms, alternative trading systems, investment advisers, hedge funds, and private equity firms globally with respect to regulatory, transactional, and trading and markets issues. Taylor represents U.S. banks and broker-dealers on a range of issues, with particular emphasis on broker-dealer regulation and cross-border considerations.

• Formation, registration and expansion of broker-dealers and ATS, including entities focused on investment banking advisory, registered offerings, private placements and secondary placement of private securities, research distribution, and secondary trading
• Representation of broker-dealers involved in SEC and FINRA investigations and enforcement actions
• Representation of underwriters in registered equity and debt securities offerings
• Representation of Banco Bradesco S.A. in its acquisition of BAC Florida Bank
• Representation of Gemini Galactic Markets, LLC in connection with its registration as a broker-dealer with the SEC and FINRA membership
• Representation of underwriters in registered offering of $5 billion investment grade notes by Lowe’s

Publications

• Contributed to Shearman & Sterling LLP, “Navigating the Co-Existence of Regulation Best Interest and FINRA Rule 2111”
• Contributed to Shearman & Sterling LLP, “FINRA Amends Corporate Financing Rule”
• Contributed to Shearman & Sterling LLP, “SEC Staff Publishes Statement Regarding Form CRS Disclosures”