SEC Archives - Pay to Play Law Blog

Pay to Play Updates – October 2022

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

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

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

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