Pay-to-Play

This is a template of a letter, perhaps crafted by the Investment Company Institute, designed for advisers to send to broker-dealers and others in an ...

It's been a vexing issue since the SEC finalized its revised pay-to-play rule: How can affected advisory firms discover government pension funds buried deep within ...

There may be times when someone employed by an adviser's affiliate could be considered a covered associate under the SEC's pay-to-play rule but generally ...

One reason the SEC pushed the effective date for part of its pay-to-play rule to this September is because of the challenge for advisers to ...

The agency had promised to post frequently asked questions related to its new pay-to-play rule and they finally appeared on the SEC's website - eight ...

Monday begins the SEC's pay-to-play rule - or at least most of it - with uncertainty around some parts. For example, should a CCO be ...

The biggest provisions within the SEC's pay-to-play rule take effect next week. Consider this scenario: a disgruntled employee next month announces he's leaving your firm. ...

Click here for a Word file that is a peer's pre-clearance form for staff to complete and submit to the compliance department before making a ...

You have until Feb. 22 to comment to the SEC about its municipal advisor proposal (IA Watch, Jan. 17, 2011), and many in the industry ...

Make sure you revise your code of ethics, introduce new policies and procedures, create forms for recordkeeping and train staff about the SEC's new pay-to-play ...