Home Pay-to-Play

Pay-to-Play

Click here to open an Excel file that one of your peers, Paula Bosco of New Mountain Capital in New York, agreed to share with ...
Last week SEC Commissioners voted unanimously to seek public comment about how to change proxy voting rules that have been in place since disco ruled ...
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 violate ...
SEC commissioners voted unanimously Wednesday to adopt new Advisers Act rule 206(4)5 to counter so-called pay-to-play frauds in which advisers pony up for the right ...
The distance between today's headlines and the topics in an SEC exam doesn't diverge much. IA Watch has obtained a document request letter from a ...
It looks like an SEC proposed rule against "pay-to-play," which would have curtailed the business of placement agents, will be eased. Provisions in the proposal ...
Should the SEC adopt its pay to play proposal ( IA Watch, Oct. 12, 2009), advisory firms should consider adopting best practices, such as adding ...
Investors will be helped by Congress codifying a fiduciary duty for broker-dealers who provide investment advice, just as they would be with the SEC's proposed ...
You knew the SEC's plan to ban advisers from using placement agencies to attract government pension plan business would be controversial and the industry has ...
Sources tell us it's highly unusual for the SEC to revise a sweep-exam letter mid-stream but it appears this is exactly what has happened with ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination