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Pay-to-Play (5)
Your search for Pay-to-Play returned 5 results.
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12/23/2016 | Content area: CPO/CTA
Accordingly, any gift, subscription, loan, advance, or deposit of money or anything of value made for transition or inaugural expenses incurred by the...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Prohibitions. As a means reasonably designed to prevent fraudulent, deceptive or manipulative acts, practices, or courses of business within the m...
6/13/2012 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This final rule extended the compliance deadline for the portion of the SEC's pay-to-play rule relating to the ban on third-party solicitation, but on...
5/15/2012 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This technical correction to the SEC's pay-to-play rule, published in May 2012, makes clear that covered associate refers to applies to an individual ...
7/14/2010 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The final rule, released by the SEC in July 2010, related to so-called pay-to-play issues. This rule contains a two-year penalty for firms that violat...


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