Tag: Pay-to-Play
Certain Political Contributions to Harris Campaign Subject to “Pay to Play” Rule
Political contributions to, or fundraising for, the presidential campaign of Kamala Harris by an adviser or its “covered associates” are now potentially subject to the SEC pay to play rule because of the selection of Minnesota Governor Tim Walz as her running mate.
August 07, 2024
Pay-to-Play Tips and Reminders
This article discusses tips for advisers to comply with the pay-to-play rule.
June 29, 2023
Tags: Pay-to-Play
SEC Brings Four Pay-to-Play Cases, Commissioner Peirce Highlights Need to Revisit the Rule
The SEC charges four investment advisers with violations of the Pay-to-Play rule, as Commissioner Peirce calls on the SEC to revisit the “exceedingly blunt instrument.”
September 22, 2022
Tags: Hester Peirce, Pay-to-Play
IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda May 19, 2021 SEC Chair Gary Gensler Sustainable investing, proxy...
May 19, 2021
Tags: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing
AMAC Discusses Private Funds, ESG, and Diversity and Inclusion
AMAC Discusses Private Funds, ESG, and Diversity and Inclusion December 9, 2020 The SEC’s Asset Management Advisory Committee’s (AMAC’s) December meeting focused on private funds, ESG, and diversity and...
December 09, 2020
Tags: AMAC, Diversity & Inclusion, ESG, Pay-to-Play, Private Funds
Supreme Court Leaves SEC’s Pay-to-Play Rule Intact
Supreme Court Leaves SEC’s Pay-to-Play Rule Intact January 21, 2020 The Supreme Court has declined to review a 2019 D.C. Circuit ruling affirming the SEC’s power to regulate pay-to-play...
January 21, 2020
Tags: Pay-to-Play, Supreme Court
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