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SEC

  • Federal Contractors
  • In The News
  • Indiana
  • SEC

Pay to Play Updates – October 2022

By Benjamin Keane, Michael Zolandz, C. Randall Nuckolls, Michael Pfeifer, and Merrill Weber
  • 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
  • SEC

Hedge Fund Seeks Absolution from the SEC Claiming the Potential Pay-to-Play Penalty Doesn’t Fit the Violation

By Benjamin Keane
  • First Amendment
  • SEC

SEC Pumps the Breaks on the Adoption of FINRA’s Proposed Pay-to-Play Rule

By Benjamin Keane
  • SEC

FINRA Submits Final Pay-to-Play Provision for SEC Approval

By Benjamin Keane
  • Compliance
  • SEC

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

By Benjamin Keane
  • SEC

FINRA Quietly Proposes Pay-to-Play Type Rules for Its Broker-Dealer Members

By Benjamin Keane
  • SEC

SEC Starts Hitting the Private Sector Hard for Pay-to-Play Violations

By Pay to Play Law Group
  • SEC

Do SEC and MSRB Pay-to-Play Rules Scare Off Donations to Federal Candidates?

By Benjamin Keane
  • SEC

SEC Gives Registered Investment Advisers More Time to Bring Themselves Into Compliance with the “Pay-to-Play” Ban on Third-Party Solicitation

By Benjamin Keane
  • New York
  • SEC

Additional Settlements in New York Pension Fund Investigation

By Pay to Play Law Group
  • SEC

MSRB Files Rule Change with SEC

By Pay to Play Law Group

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