Pay-to-Play Rules Posed.(American Bar Association)Hume, Lynn
The proposal sent to the SEC makes some changes, including dropping earlier disgorgement and disclosure requirements. New Rule 2030 will complete the pay-to-play suite of rules, together with the MSRB’s proposal extending its long-standing pay-to-play Rule G-37 to municipal advisors. That ...
In addition to the SEC Pay-to-Play Rule and other federal pay-to-play rules noted above, many states and localities have also adopted pay-to-play rules that are applicable to persons who contract with their governmental agencies. Campaign contributions to other candidates may trigger disclosure ...
On December 16, 2015, the Financial Industry Regulatory Authority (FINRA) submitted Rules 2030 and 4580 (the Draft Rules) to the Securities and Exchange Commission (SEC) for approval. The Draft Rules set forth pay-to-play restrictions and record-keeping requirements for broker-dealers that ...
FINRA and the MSRB Issue FAQs on Bond Mark-Up Disclosure To describe the status of municipal advisor rulemaking by the US Securities and Exchange Commission (SEC) and Municipal Securities Rulemaking Board (MSRB),... DJ Martin 被引量: 0发表: 0年 加载更多研究点推荐 Pay-to-Play Rules 0关于...
for the payment to any person to solicit a government entity for investment advisory services until the later of (i) the effective date of a FINRA pay-to-play rule or (ii) the effective date of an MSRB pay-to-play rule. Thus, until both the FINRA and MSRB pay-to-play r...
The Hoboken council will consider amending their pay-to-play rules to raise the local union donation limit from $500 to $7,200.
Pennsylvania Act No. 44: New ‘Pay-to-Play’ and Other Rules Governing Municipal ContractsC. Baird Brown
So it was fairly surprising to see TL Ventures charged by the SEC for pay-to-play violations, related to political donations made back in 2011. Let alone to see the firm settle for around $300,000. After all, how do you ‘pay’ in 2011 for a ‘play’ that happened so far in the...
PLAY BY THE RULES Just to update you, AO, a few days ago, I saw some young men playing there, so the question is do you have to pay to play? Was this not a free "public" park? Pay to play? The fun doesn't end just yet; these lucky winners can used these BBs in their real...