News & Analysis as of

Investment Adviser › MSRB › Government Entities

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: Presidential Election Campaign Donations May Trigger Investment Adviser “Pay to Play” Rule

Nutter McClennen & Fish LLP on

Overview: Investment advisers that seek to manage public money need to consider the SEC’s “pay to play” rule, which restricts election-related contributions by the firms or their “covered associates” to elected state...more

Latham & Watkins LLP

SEC Approves FINRA Pay-to-Play Rules

Latham & Watkins LLP on

Placement agents to private funds who seek investments by state and local pension plans must comply with restrictions on political contributions and related activities. On August 25, 2016, the Securities Exchange...more

Proskauer Rose LLP

SEC Sets Compliance Date for Pay-to-Play Rule's Ban on Third-Party Solicitation of Government Entities

Proskauer Rose LLP on

On June 25, 2015, the Securities and Exchange Commission (SEC) set a compliance date of July 31, 2015 for the ban on payments to third parties for the solicitation of advisory business from any government entity under Rule...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide