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Searching Content indexed under Financial Services by Benjamin Neaderland ordered by Published Date Descending.
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SEC Holds Kokesh Does Not Impact FINRA Industry Bar
On August 23, 2019, the Securities and Exchange Commission held in In re John M.E. Saad that the US Supreme Court's decision in Kokesh v. SEC had no impact on the Financial Industry Regulatory Authority's.
United States
29 Aug 2019
2
Midterm Congressional Election Year Merits Extra Pay-To-Play Vigilance By Investment Advisers
Midterm congressional elections are expected to see a historic number of candidates competing.
United States
6 Feb 2018
3
Contribution Caution: Mitigating Risks From Pay-To-Play
With the record-breaking campaign expenditures of the 2014 midterm elections behind us, and the 2016 campaign cycle already heating up, this is an ideal moment for investment advisers (including advisers to venture capital funds and certain private equity and hedge funds) to ensure that they have mechanisms in place to verify compliance with the U.S. Securities and Exchange Commission’s pay-to-play rule.
United States
7 Apr 2015
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