Compliance General SEC No Good Deed Goes Unpunished: The SEC’s Recent $100K Penalty For Inadvertent and Self-Reported Pay-to-Play Violations Is A Not So Subtle Reminder of the Need for Compliance Vigilance By Benjamin Keane and Michael Pfeifer
Compliance SEC Amicus Brief Highlights the Massive Reach and Unintended Consequences of SEC Rule 206(4)-5 By Benjamin Keane
