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SEC Pay-To-Play Rule Rears Its Head Again In Time For Election Season - Securities

On April 15, 2024, the U.S. Securities and Exchange Commission (SEC) settled with a registered investment adviser (Adviser),1 whereby the Adviser paid a $60,0000 civil money penalty of in addition. ....

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Recent Pay-To-Play Settlement: Notwithstanding A Strong Dissent Over 206(4)-5 Overbreadth, The Need For Strong Compliance Policies Persists - Financial Services

With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of Investment Advisers Act. ....

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SEC Pay-to-Play Rule Rears Its Head Again in Time for Election Season | Lowenstein Sandler LLP

On April 15, 2024, the U.S. Securities and Exchange Commission (SEC) settled with a registered investment adviser (Adviser), whereby the Adviser paid a $60,0000 civil money penalty of. ....

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Recent Pay-to-Play Settlement: Notwithstanding a Strong Dissent Over 206(4)-5 Overbreadth, the Need for Strong Compliance Policies Persists | WilmerHale

With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of. ....

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Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool Operators | Foley Hoag LLP

INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state. ....

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