News & Analysis as of September 17, 2024

Investment Adviser

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Selection of Gov. Walz as VP Harris's Running Mate Triggers Federal Pay-to-Play Restrictions on Investment Advisers and Other...

Katten Muchin Rosenman LLP on 8/22/2024

Vice President Kamala Harris's selection of Minnesota Gov. Tim Walz as her running mate imposes restrictions on campaign contributions to the Harris-Walz campaign by federally registered investment advisers (RIAs), exempt...more

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

Nutter McClennen & Fish LLP on 8/15/2024

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

Text, Alexa, Bitcoin—Technology Makes Political Contributions Easier

Pillsbury Winthrop Shaw Pittman LLP on 12/18/2019

Is your political compliance program ready for the 2020 election season? With the 2020 election season underway, now is a good time to make certain your internal policies and procedures address applicable campaign...more

An Update for Financial Institutions on Presidential Candidates Covered Under Federal Pay-to-Play Rules

Skadden, Arps, Slate, Meagher & Flom LLP on 5/2/2019

Financial institutions and their employees may be subject to the following federal pay-to-play rules: SEC Rule 206(4)-5 for investment advisers; CFTC Rule 23.451 for commodities-backed swap dealers; FINRA Rule 2030 for...more

Skadden's 2019 Insights: Political Law: What to Consider When Providing Investment Fund Services to US State and Local Government...

Skadden, Arps, Slate, Meagher & Flom LLP on 1/23/2019

With heightened attention to investment and depository rules as well as increased enforcement of federal and state pay-to-play rules, registered investment advisers (RIAs) and broker-dealers should address the unique legal...more

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