Pay-to-Play

Two new amended applications for exemptive relief under the SEC’s pay-to-play rule suggest the agency wants to see more evidence of a robust response by ...

Bradford Eichler had grown up with Capi Peck’s ex-husband. Their friendship dated back decades. So when Peck ran for the job of director of the ...

It’s taken years for the SEC’s ban on third-party solicitation under its pay-to-play rule to take effect – largely because the Commission waited until FINRA ...

Few executives blunder as big as Mark Wiedman did when the Blackrock Advisors’ ($544B in AUM) senior managing director contributed $2,700 to last year’s Presidential ...

Another shoe has dropped in the ongoing investigation of a “pay-to-play” bribery scheme involving the New York State Common Retirement Fund. A second senior executive ...

Only days after OCIE’s 2017 exam priorities recorded examiners’ interest in public pension advisers and compliance with the pay-to-play rule (IA Watch, Jan. 12, 2017), ...

In January 2014 and August 2014, a covered associate of Respondent made two $500 campaign contributions to two elected officials in Pennsylvania, both of whom ...

In December 2011 and April 2012, a covered associate of Respondent made campaign contributions to a candidate for elected office and an elected official in ...

In February 2014, a covered associate of Respondent made a campaign contribution to an elected official in Massachusetts, who had influence over selecting investment advisers ...

Accordingly, any gift, subscription, loan, advance, or deposit of money or anything of value made for transition or inaugural expenses incurred by the successful candidate ...