Pay-to-Play

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 ...

It looks like an SEC proposed rule against "pay-to-play," which would have curtailed the business of placement agents, will be eased. Provisions in the proposal ...

Should the SEC adopt its pay to play proposal ( IA Watch, Oct. 12, 2009), advisory firms should consider adopting best practices, such as adding ...

Investors will be helped by Congress codifying a fiduciary duty for broker-dealers who provide investment advice, just as they would be with the SEC's proposed ...

You knew the SEC's plan to ban advisers from using placement agencies to attract government pension plan business would be controversial and the industry has ...

Sources tell us it's highly unusual for the SEC to revise a sweep-exam letter mid-stream but it appears this is exactly what has happened with ...

Last week's release by the SEC of its 32-page proposed pay-to-play rule aroused howls of protest from some corners, especially over its ban of use ...

As the SEC's latest proposal to address corruption by some advisers in seeking to manage public pension funds hits the street, already some worry the ...

A copy of an SEC enforcement sweep exam letter tied to the so called pay-to-play scandal. This letter likely comes from the summer of 2009.

Everything old is new again, as seen in the Commission's unanimous vote last week to propose a rule targeting investment advisers that provide or encourage ...