Pay-to-Play

The Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’) is issuing an order finding that Financial Industry Regulatory Authority (‘‘FINRA’’) rule 2030 (the ‘‘FINRA Pay to ...

The Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’) is issuing an order finding that Municipal Securities Rulemaking Board (‘‘MSRB’’) rule G–37 (the ‘‘MSRB Pay to ...

As the two major presidential candidates prepare to verbally joust in their first debate, OCIE is fulfilling its promise to examine advisers on their compliance ...

A peer shares the firm's SEC document request letter that displayed an interest in pay-to-play issues.

As the presidential election season turns toward a two-person race, a new pay-to-play case suggests you ask candidates about their political contributions before you extend ...

Some may flinch at the thought of government asking private entities for the names of staffers who have made political contributions but OCIE’s doing just ...

An SEC sweep exam looking at pay-to-play issues most likely explains this document request letter. This came out of the SEC's Chicago regional office.

The Arkansas Order further found that Stephens failed to disclose the commission (i.e., mark up or mark down) on certain bonds that Stephens advised the ...

Get ready for new restrictions on political contributions – and the possibility they could be implemented by the November election. At long last, FINRA is ...

The SEC's complaint alleges that Crowe repeatedly caused concealed campaign contributions to be made on behalf of State Street to the Ohio State Treasurer to ...