Pay-to-Play

Two years after the SEC's pay-to-play rule for advisers went into effect firms continue to struggle with how to implement a sound compliance program to ...

Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules

While the SEC agreed in June to extend the deadline for its third-party ban on solicitation of government pension business by advisers (IA Watch, June ...

On the very day that the SEC's once-delayed third-party solicitation ban in its pay-to-play rule was to take effect - June 13th - the agency ...

This final rule extended the compliance deadline for the portion of the SEC's pay-to-play rule relating to the ban on third-party solicitation, but only for ...

This technical correction to the SEC's pay-to-play rule, published in May 2012, makes clear that covered associate refers to applies to an individual and not ...

How fair would you regard it if your boss fired you for something you did in your spare time that wasn't illegal?That's the logic behind ...

Last week the SEC updated its frequently-asked-questions site for its pay-to-play rule to give firms clarity following the agency's decision in June to extend the ...

Within a year, another presidential election will have concluded. With the election cycle in full swing, it's a good time to remind staff that federal ...

With firms still scrambling to comply with the portion of the SEC's pay-to-play rule that took effect Sept. 13th, the agency released a no-action letter ...