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Topic: Pay-to-Play

10 Advisory Firms Learn the Meaning of Pay-to-Play

February 3, 2017
If only they had monitored the political contributions their employees made. Then, they wouldn’t be getting all this bad publicity, SEC attention, and having to pay fines ranging from $35,000 to $100,000.

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Pay-to-Play Rule: State Republican Parties Take SEC to Court

August 15, 2014
They’re taking the nation’s top securities cop to court.

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SEC for First Time Charges an Adviser with Pay-to-Play Rule Violations

June 26, 2014
Firms with covered associates who make political contributions to entities they do business with may wind up getting a lot more than they paid for – in the way of SEC attention.

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SEC Adds to Pay to Play FAQs

September 12, 2012


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Classic Pay to Play Fall For MayfieldGentry

June 25, 2012


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Compliance Date Extended for Ban on Third Party Solicitation

June 25, 2012


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SEC Corrects Error in Pay to Play Rule’s Definition of Covered Associate

May 22, 2012


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Advisers Get Some Relief on Pay to Play Recordkeeping

October 23, 2011


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