News & Analysis as of

Settlement Pay-To-Play

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for August 2024

More Flack on WhatsApp, Hypothetical Performance SmackDown, A Timely Warning on the Pay-to-Play Rule, and Updates to Qualifying Venture Capital Fund Exemption - This month's big news from the SEC was more piggy-bank breaking...more

Proskauer - The Capital Commitment

Key Steps for Fund Managers to Avoid Scrutiny Under the SEC’s Pay-to-Play Rule

The SEC’s recent settlement involving a “pay-to-play” rule violation by a private equity firm is a timely reminder for fund managers, especially with the November elections approaching. As a refresher, Rule 206(4)-5 of...more

Dechert LLP

UPDATE: Continued Regulatory Focus on US Political Contributions

Dechert LLP on

Recent actions by financial industry regulators, including the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority, Inc. (“FINRA”), and the Municipal Securities Rulemaking Board (“MSRB”),...more

Goodwin

Financial Services Weekly News Roundup - November 2014 #3

Goodwin on

FINRA Requests Comment on Proposed “Pay-to-Play” Rule - FINRA issued Regulatory Notice 14-50 requesting comment on proposed “pay-to-play” and related rules that would regulate in a manner similar to Rule 206(4)-5 under...more

Bilzin Sumberg

Suntrust Reaches $320 Million Settlement

Bilzin Sumberg on

SunTrust Banks (“SunTrust”) reached a settlement with Federal prosecutors last week in which it agreed to a $320 million settlement for a combination of consumer relief and housing counseling services. SunTrust issued a press...more

Goodwin

SEC Settles with Exempt Reporting Adviser over Pay-to-Play Violations

Goodwin on

The SEC settled public administrative proceedings against TL Ventures Inc., a venture capital fund adviser (the “Adviser”), over violations of Rule 206(4)-5 (the “Rule”) under the Investment Advisers Act of 1940 (the...more

Goodwin

SEC Integrates Two Exempt Reporting Advisers to Determine Advisers Act Registration Status

Goodwin on

The SEC settled public administrative proceedings against TL Ventures Inc., a venture capital fund adviser (the “VC Fund Adviser”) and Penn Mezzanine Partners Management, L.P. (the “Private Fund Adviser” and with the VC Fund...more

King & Spalding

Washington Insight: Corporate Lobbyist's Toolkit - January 2013

King & Spalding on

In This Issue: - Making Decisions on Corporate Campaign Expenditures - What’s in Store in Congresson Campaign Finance Reform? - DC Circuit Reversed Van Hollen. Players Changed Tactics to Avoid Disclosure. ...more

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