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Searching Content indexed under Fund Management/ REITs by Benjamin Keane ordered by Published Date Descending.
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Hedge Fund Seeks Absolution From The SEC Claiming The Potential Pay-To-Play Penalty Doesn't Fit The Violation
Pershing Square Capital Management has found itself in the unenviable position of having to seek absolution from the Securities and Exchange Commission for the consequences of an unintended $500...
United States
6 Dec 2016
2
FINRA Submits Final Pay-to-Play Provision For SEC Approval
When we here at the Pay-to-Play Law Blog look back on the end of the holiday season, we gaze warmly back at the Federal Register and determine which of our favorite regulatory agencies left a surprise under the tree...
United States
28 Apr 2016
3
SEC Pumps The Breaks On The Adoption Of FINRA's Proposed Pay-To-Play Rule
We've all been there before – charging headlong down the interstate at a few miles per hour over the speed limit, when we suddenly come upon a speed trap conveniently tucked into a service road in the highway median.
United States
28 Apr 2016
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