Aanchal Chugh

Skadden, Arps, Slate, Meagher & Flom LLP

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For Financial Institutions: Reminder That Federal Political Activity Can Implicate Certain Pay-to-Play Rules

With the election season in full swing, there is increased interest in political contributions. It is important for financial institutions subject to SEC Rule 206(4)-5 for investment advisers, CFTC Rule 23.451 for swap...more

1/19/2024  /  Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Investment Adviser , Investment Advisory Agreements , Pay-To-Play , Political Contributions , Securities and Exchange Commission (SEC) , Securities Regulation , Swap Dealers

Contributions to Florida Gov. Ron DeSantis’ Presidential Campaign Are Subject to Federal Pay-to-Play Rules

Florida Gov. Ron DeSantis filed paperwork on May 24, 2023, to run for president in the 2024 election. In light of his announcement, it is important to keep in mind that contributions made to or solicited on behalf of Gov....more

5/30/2023  /  Broker-Dealer , CFTC , Florida , Governor DeSantis , Pay-To-Play , Political Campaigns , Securities , Securities and Exchange Commission (SEC) , Swap Dealers
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