Pay-to-Play

Even though the political contribution provisions in the SEC's new pay-to-play rule don't take effect until next year, the complexity and ramifications of the new ...

This is a code of conduct for placement agents that was submitted to the SEC as part of its proposed pay-to-play rule.

In another sign of just how serious regulators are about pay-to-play violations, the New York State attorney general has barred a law firm from "appearing ...

During the week the SEC's new pay-to-play rule took effect, the agency set up a short compliance guide to help advisers navigate the rule. The ...

You may not engage in public pension business now, but it may be a smart decision for your firm to comply with recordkeeping rules in ...

Click here to open an Excel file that one of your peers, Paula Bosco of New Mountain Capital in New York, agreed to share with ...

Last week SEC Commissioners voted unanimously to seek public comment about how to change proxy voting rules that have been in place since disco ruled ...

The final rule, released by the SEC in July 2010, related to so-called pay-to-play issues. This rule contains a two-year penalty for firms that violate ...

SEC commissioners voted unanimously Wednesday to adopt new Advisers Act rule 206(4)5 to counter so-called pay-to-play frauds in which advisers pony up for the right ...

The distance between today's headlines and the topics in an SEC exam doesn't diverge much. IA Watch has obtained a document request letter from a ...