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Pay to Play Law Blog

Articles, resources, insights on pay to play regulations on the federal and state level

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Pay to Play Law Blog

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Compliance

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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
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Amicus Brief Highlights the Massive Reach and Unintended Consequences of SEC Rule 206(4)-5

By Benjamin Keane

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