Pay-to-Play

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 ...

Last week's release by the SEC of its 32-page proposed pay-to-play rule aroused howls of protest from some corners, especially over its ban of use ...

As the SEC's latest proposal to address corruption by some advisers in seeking to manage public pension funds hits the street, already some worry the ...

A copy of an SEC enforcement sweep exam letter tied to the so called pay-to-play scandal. This letter likely comes from the summer of 2009.

Everything old is new again, as seen in the Commission's unanimous vote last week to propose a rule targeting investment advisers that provide or encourage ...

IA Week has obtained a copy of the letter the Enforcement Division of the SEC's New York Regional Office has been sending to advisers as ...

A copy of the sworn statement letter sent by NYRO enforcement division in spring and summer 2009.

The SEC has requested additional information from more than two dozen pension fund managers and others in its on-going investigation into so-called pay-to-play pension schemes(IA ...