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Tag: Phil Angelides

SEC Warns Firms on Muni Pay-to-Play Rules

Doug Cornelius March 22, 2010March 19, 2010 Compliance Programs   1

While sources are wallowing in the exposure of a political figure in a “pay to play” scandal, I thought there might be some lessons for other investment managers as states and perhaps the SEC roll out limitations on political contributions. The original story seemed mildly interesting.  The SEC warned firms that municipal securities rules prohibiting … Read more »

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