Pay-to-Play

This is a no-action letter released by the SEC in September 2011 that gives investment companies relief from the agency's pay-to-play rule's requirements that advisers ...

    Investment Advisers Act of 1940 — Rule 204-2(a)(18)(i)(B) Investment Company Institute September 12, 2011 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

This is a template of a letter, perhaps crafted by the Investment Company Institute, designed for advisers to send to broker-dealers and others in an ...

It's been a vexing issue since the SEC finalized its revised pay-to-play rule: How can affected advisory firms discover government pension funds buried deep within ...

There may be times when someone employed by an adviser's affiliate could be considered a covered associate under the SEC's pay-to-play rule but generally ...

One reason the SEC pushed the effective date for part of its pay-to-play rule to this September is because of the challenge for advisers to ...

The agency had promised to post frequently asked questions related to its new pay-to-play rule and they finally appeared on the SEC's website - eight ...

Monday begins the SEC's pay-to-play rule - or at least most of it - with uncertainty around some parts. For example, should a CCO be ...

The biggest provisions within the SEC's pay-to-play rule take effect next week. Consider this scenario: a disgruntled employee next month announces he's leaving your firm. ...

Click here for a Word file that is a peer's pre-clearance form for staff to complete and submit to the compliance department before making a ...