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Pay-to-Play

'Draconian' rules handicap DeSantis, Burgum
US flag flies in front of the US Capitol in Washington DC with cash behind the dome to illustrate coronavirus stimulus payment
Check out a peer's matrix for finding potential political contributions by staff
Business closeup of two hands exchanging dollars on grey background.
It’s been more than a decade since the SEC adopted its pay-to-play rule, yet violations by advisers continue to imbue compliance lessons
More than one in five cases involved fees, expenses or valuations
A money bags stock image, from Getty Images.
In August 2018, a covered associate of Respondent made a campaign contribution to a candidate for elected office in California, which office had influence over ...
Between December 2020 and April 2021, two covered associates of Respondent made campaign contributions to a candidate for elected office in New York, New York, ...
Twisted paper US currency
In July 2018, an officer of the Bank of Hawaii made a campaign contribution to an incumbent for elected office in Hawaii, which office had ...
In May 2021, a covered associate of Respondent made a campaign contribution to a candidate for elected office in Massachusetts, which office had influence over ...
SEC Commissioner Hester Peirce
"The Pay-to-Play Rule, although well-intentioned, imposes unique, unquantifiable costs on individuals by impeding their ability to participate in the political process"
Use this form to help you comply with the SEC's pay-to-play rule
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