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