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Searching Content indexed under Financial Services by Matthew Bobys ordered by Published Date Descending.
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D.C. Circuit Upholds Federal Pay-To-Play Rule
On June 18, 2019, the U.S. Court of Appeals for the District of Columbia Circuit dismissed a challenge to FINRA pay-to-play Rule 2030 brought by the New York Republican State Committee and the Tennessee Republican Party.
United States
8 Jul 2019
2
Two Additional Presidential Candidates Subject To Federal Pay-To-Play Rules
In a recent mailing we noted that the following Democratic presidential candidates are covered under federal pay-to-play rules (i.e., SEC 206(4)-5, MSRB G-37, CFTC 23.451 and FINRA 2030) because they are currently elected state or local officials running for federal office:
UK
7 Jun 2019
3
An Update For Financial Institutions On Presidential Candidates Covered Under Federal Pay-To-Play Rules
Financial institutions and their employees may be subject to the following federal pay-to-play rules: SEC Rule 206(4)-5 for investment advisers; CFTC Rule 23.451
UK
16 May 2019
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