RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

SEC's new pay-to-play rules call for you to investigate your employees' political giving

Surprisingly broad regs kick in next quarter, covering RIAs that do business with the government

Author Les Abromovitz, Columnist November 30, 2010 at 4:12 AM
Admin:
0 Comments
no description available
Les Abromovitz: Working on an elected official or candidate’s campaign may also fall within the definition of “contribution” found in the pay-to-play rule.

Related Moves

November 18, 2022 at 2:56 AM


Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner




RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo