Pay-to-Play

Gain ideas for your PTP's P&Ps from this sample policy

You wouldn’t be faulted for being among many of us who will celebrate when this election season passes onto the pages of history. But don’t ...

An individual made a campaign contribution to an incumbent for elected office in the State of Michigan, which office had influence over hiring investment advisers ...

IA penalized $60K for running afoul of the Commission's pay-to-play rule

A staffer at the adviser "made a campaign contribution to a candidate for elected office in Minnesota, which office had influence over selecting investment advisers ...

"This case is yet another illustration of the overbreadth of the pay-to-play rule and another reminder of the way the rule hampers legitimate political participation"

'Draconian' rules handicap DeSantis, Burgum

Check out a peer's matrix for finding potential political contributions by staff

It’s been more than a decade since the SEC adopted its pay-to-play rule, yet violations by advisers continue to imbue compliance lessons

More than one in five cases involved fees, expenses or valuations