Securites Exchange Commission
Do SEC and MSRB Pay-to-Play Rules Scare Off Donations to Federal Candidates?
As readers of this blog know well, the avowed goal of the SEC’s pay-to-play framework is to protect the integrity […]
Holiday “Gifts” from the Nation’s Capitol
A Contrasting Pair of Pay-to-Play Reprieves Emerge in the District Just in time for the holiday season, an unexpected present […]
SEC Gives Registered Investment Advisers More Time to Bring Themselves Into Compliance with the “Pay-to-Play” Ban on Third-Party Solicitation
For more than two years, this blog has been covering the Securities and Exchange Commission’s foray into the world of […]
Taking Stock of The STOCK Act. . . . Wither “Political Intelligence”?
Proponents of ethics reform and increased political transparency in Washington don’t often see reform proposals pass through Congress by overwhelming […]
Transparency Advocates Look to the SEC to Accomplish What Congress, The White House, and the IRS To-Date Have Not
It has been almost exactly 19 months since the Supreme Court handed down its controversial decision in Citizens United v. […]
MSRB Files Rule Change with SEC
As we highlighted in our November 11, 2009 blog post, in June the Municipal Securities Rulemaking Board (“MSRB”) announced plans […]
The SEC Has Been Busy With Pay-to-Play Compliance and Expects You To Be As Well
The Securities and Exchange Commission (SEC) has given notice that it intends to take a very active role with respect […]
New Mexico Chief Investment Officer Resigns after Investigation
The pay-to-play probe related to U.S. public pension systems led by New York Attorney General Andrew Cuomo, the U.S. Securities […]
Blue Ribbon Panel Proposal
Amid the continued debate over the SEC’s proposed pay-to-play rules there are some proponents who argue that oversight of pay-to-play practices […]
SEC Boots Kickbacks at Federal Level
Amid the storm of pay-to-play scandals and as pay-to-play has become an increasingly hot-button state issue, the Securities Exchange Commission […]