Diane Ambler

Diane Ambler

K&L Gates LLP

Contact
View Bio
RSS

Latest Posts › Political Contributions

Share:

Questions & Answers on State and Local Variations on the SEC Pay-to-Play Rule

Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more

3/7/2017  /  Government Officials , Investment Adviser , Investment Advisers Act of 1940 , Pay-To-Play , Political Contributions , Recordkeeping Requirements , Securities and Exchange Commission (SEC)

Questions & Answers on State and Local Variations on SEC Pay-to-Play Rule

Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more

11/18/2013  /  Investment Adviser , Investment Advisers Act of 1940 , Investment Management , Lobbying , Pay-To-Play , Political Contributions , Securities and Exchange Commission (SEC)
2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide