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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Matthew Bobys ordered by Published Date Descending.
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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
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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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