Comments on: New SEC Rule on Political Contributions by Certain Investment Advisers

By: Placement Agents Fight Bans | Compliance Building

Placement Agents Fight Bans | Compliance Building — Wed, 18 Aug 2010 18:42:49 +0000

[...] Mexico State Investment Council because of the pay-to-play scandals at those pension funds. Now the SEC has proposed a ban on using placement agents when seeking capital investments from public pension [...]

By: FINRA and Placement Agents | Compliance Building

FINRA and Placement Agents | Compliance Building — Fri, 09 Apr 2010 12:02:14 +0000

[...] New SEC Rule on Political Contributions by Certain Investment Advisers – prior post Share and save: [...]

By: Corporate & Securities Law Community | LexisNexis

Corporate & Securities Law Community | LexisNexis — Wed, 24 Mar 2010 12:12:25 +0000

[...] The original story seemed mildly interesting. The SEC warned firms that municipal securities rules prohibiting pay-to-play apply to affiliated financial professionals, not just a firm's employees. The story caught my eye because MSRB Rule G-37 was identified as a model for the SEC's proposal on pay to play. [...]

By: SEC Warns Firms on Muni Pay-to-Play Rules | Compliance Building

SEC Warns Firms on Muni Pay-to-Play Rules | Compliance Building — Mon, 22 Mar 2010 12:02:25 +0000

[...] The original story seemed mildly interesting. The SEC warned firms that municipal securities rules prohibiting pay-to-play apply to affiliated financial professionals, not just a firm’s employees. The story caught my eye because MSRB Rule G-37 was identified as a model for the SEC’s proposal on pay to play. [...]

By: Reasons Why the SEC Wants to Regulate Political Contributions | Compliance Building

Wed, 05 Aug 2009 11:02:21 +0000

[...] SEC has proposed a New Rule on Political Contributions by Certain Investment Advisers to prevent advisers from participating in pay to play practices affecting the management of public [...]