Kenneth Gross

Kenneth Gross

Skadden, Arps, Slate, Meagher & Flom LLP

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"SEC Extends Comment Period on Proposed FINRA Pay-to-Play Rule "

On March 29, 2016, the Securities and Exchange Commission (SEC) filed an order instituting proceedings (the Order) intended to determine whether to approve or disapprove Financial Industry Regulatory Authority (FINRA)...more

4/18/2016 - Broker-Dealer Comment Period FINRA Investment Adviser Pay-To-Play Proposed Regulation Recordkeeping Requirements SEC Securities Exchange Act

"Reminder: New Jersey Pay-to-Play Form BE Due on March 30, 2016"

This memorandum is to remind you that the annual filing for state and local contractors required under New Jersey Chapter 271 (Form BE) is due March 30, 2016. In particular, as we have described in previous mailings, this...more

3/8/2016 - Annual Filings Disclosure Requirements Pay-To-Play Political Contributions State and Local Government State Contractors

"MSRB Amendments to Pay-to-Play Rule Will Take Effect in August 2016"

On February 17, 2016, the Municipal Securities Rulemaking Board (MSRB) announced in Regulatory Notice 2016-06 that its draft amendments to Rule G-37 on political contributions, and related amendments to Rules G-8 and G-9 on...more

2/24/2016 - FINRA MSRB New Amendments Pay-To-Play Political Contributions Rule G-37 Rule G-8 Rule G-9 SEC

"New York JCOPE Issues Lobbying and Political Contributions Opinions"

On January 26, 2016, the New York Joint Commission on Public Ethics (JCOPE) approved two controversial advisory opinions. The first opinion clarified the scope of the state’s lobby law. Although most of the media coverage on...more

2/16/2016 - Amnesty Lobbying Lobbyists Political Contributions

"Wisconsin Raises Contribution Limits, Eases Federal PAC Requirements"

On December 16, 2015, Wisconsin Gov. Scott Walker signed 2015 Wisconsin Act 117, which became effective January 1, 2016 (the Act). Among other changes, the Act eases the registration requirements for federal political action...more

2/3/2016 - New Legislation PACs Political Candidates Political Contributions Registration Requirement

"FEC Dismisses Wal-Mart PAC Match Case"

The Federal Election Commission (FEC) recently dismissed a complaint filed against Wal-Mart Stores, Inc. and its political action committee (PAC), finding that Wal-Mart's 2-for-1 PAC match program did not violate federal...more

2/3/2016 - 501(c)(3) Charitable Donations Election Laws Federal Election Commission (FEC) PACs Political Contributions Wal-Mart

"FINRA Submits Pay-to-Play Rule 2030 to SEC for Approval"

On December 16, 2015, the Financial Industry Regulatory Authority (FINRA) submitted Rules 2030 and 4580 (the Draft Rules) to the Securities and Exchange Commission (SEC) for approval. The Draft Rules set forth pay-to-play...more

1/8/2016 - Broker-Dealer Disclosure Requirements FINRA Investment Adviser Investment Companies Pay-To-Play Political Contributions Recordkeeping Requirements SEC

"MSRB Submits Pay-to-Play Rule G-37 Amendments to SEC for Approval"

On December 16, 2015, the Municipal Securities Rulemaking Board (MSRB) filed its draft amendments to Rule G-37 on political contributions (the Draft Rule) with the Securities and Exchange Commission (SEC). The Draft Rule...more

1/7/2016 - Broker-Dealer Disclosure Requirements MSRB Municipal Advisers Pay-To-Play Political Contributions Recordkeeping Requirements SEC

"FINRA and MSRB Submit Pay-to-Play Rules to SEC for Approval"

On December 16, 2015, the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) submitted their respective pay-to-play rules to the Securities and Exchange Commission (SEC) for...more

12/22/2015 - Broker-Dealer FINRA Investment Adviser MSRB Pay-To-Play SEC

"MSRB Rulemaking Update: SEC Approves MSRB's Proposed Amendments to Gift Rule G-20, MSRB Files Second Amendment to Proposed Rule...

This is to update you about recent Municipal Securities Rulemaking Board (MSRB) actions. SEC Approves MSRB's Proposed Amendments to MSRB Rule G-20 and Related Recordkeeping - On November 6, 2015, the Securities and...more

12/1/2015 - Gifts MSRB Municipal Securities Issuers Proposed Amendments Rule G-20 Rule G-42 SEC

"Reminder: Maryland Pay-to-Play Report Due November 30, 2015"

We wish to remind you that companies with one or more Maryland state or local government contracts worth at least $200,000 are required to file semiannual pay-to-play reports with the Maryland State Board of Elections by each...more

11/12/2015 - Board of Elections Federal Contractors PACs Pay-To-Play Political Contributions Reporting Requirements State Contractors

"Municipal Advisor Update: SEC Examination Initiative, Series 50 Pilot Exam, Continuing Education Requirements"

SEC Municipal Advisor Examination Initiative - The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) recently updated the National Association of Municipal Advisors on...more

10/27/2015 - Federal Pilot Programs FINRA MSRB Municipal Advisers OCIE SEC SEC Examination Priorities

"Maryland Proposes Regulations Regarding Its Pay-to-Play Reporting Law"

The Maryland Board of Elections recently proposed regulations regarding its pay-to-play reporting law, which was amended earlier this year and now requires companies that have one or more Maryland state or local government...more

10/12/2015 - Board of Elections CEOs Disclosure Requirements Federal Contractors Parent Corporation Pay-To-Play Political Contributions Public Comment Reporting Requirements Subsidiaries

"Recent MSRB Developments: Board Proposes Amendments to Gift Rule G-20, Schedules Municipal Advisor Pilot Exam"

Proposed Amendments to MSRB Rule G-20 - On September 2, 2015, the MSRB filed with the Securities and Exchange Commission (SEC) proposed amendments to Rule G-20, with conforming changes to related recordkeeping Rules G-8...more

9/16/2015 - FINRA Gifts MSRB Municipal Advisers Political Contributions Qualification Exams Recordkeeping Requirements Rule G-20 SEC

"DC Circuit Dismisses Challenge to SEC Rule 206(4)-5"

On August 25, 2015, the U.S. Court of Appeals for the District of Columbia Circuit upheld the D.C. District Court’s dismissal of a challenge to Securities and Exchange Commission (SEC) pay-to-play Rule 206(4)-5 (the Rule) and...more

9/1/2015 - Dismissals First Amendment Investment Advisers Act of 1940 Jurisdiction Pay-To-Play Rule 206(4)-5 SEC Statute of Limitations

"SEC Extends Comment Period on Proposed Rule G-42, MSRB Files Partial Amendment"

On August 6, 2015, the Securities and Exchange Commission (“SEC”) filed an Order instituting proceedings intended to determine whether to approve or disapprove Proposed Municipal Securities Rulemaking Board (“MSRB”) Rule G-42...more

8/20/2015 - Conflicts of Interest Disclosure Requirements MSRB Municipal Advisers Rule G-42 Rule G-8 SEC

"First Semiannual Report Under New Maryland Pay-to-Play Law Due August 31, 2015"

This month, many companies that had not previously been required to file Maryland pay-to-play reports will be required to file with the Maryland State Board of Elections for the first time. Maryland’s pay-to-play reporting...more

8/18/2015 - Disclosure Requirements Federal Contractors Filing Deadlines Pay-To-Play Political Contributions Reporting Requirements

"DC Circuit Unanimously Upholds Federal Contractor Contribution Ban"

On July 7, 2015, the federal circuit court for the District of Columbia sitting en banc issued a unanimous opinion upholding the federal contractor contribution ban against a constitutional challenge in the long-running case...more

7/15/2015 - Affiliates Anti-Corruption Equal Protection Federal Contractors Federal Election Commission (FEC) Fifth Amendment First Amendment Free Speech Parent Corporation Pay-To-Play Political Contributions SuperPACs

"Update on Compliance Date of SEC Rule 206(4)-5's Placement Agent Provision"

On June 25, 2015, the Securities and Exchange Commission (SEC) issued Release No. IA-4129 setting July 31, 2015, as the compliance date for SEC Rule 206(4)-5's placement agent restrictions on using third-party and affiliated...more

6/30/2015 - FINRA Investment Adviser MSRB New Regulations SEC

"Department of Justice Secures Sentence in First Super PAC Coordination Case"

The Department of Justice recently concluded its first criminal prosecution of coordination between an independent-expenditure-only committee (super PAC) and a campaign committee. On June 12, 2015, the U.S. District Court for...more

6/23/2015 - Campaign Contributions Campaign Finance Reform Criminal Prosecution DOJ FBI Federal Contractors Federal Election Commission (FEC) Misappropriation Political Contributions SuperPACs

"Virginia Enacts Stricter Gift Provisions, Expands Lobbying and Pay-to-Play Laws"

On May 1, 2015, Virginia Gov. Terry McAuliffe signed Senate Bill No. 1424 (the Bill). The Bill tightens restrictions on gifts, expands Virginia’s lobby law to cover attempts to obtain public contracts and adds a new...more

5/18/2015 - Corporate Gifts Lobbying Pay-To-Play Public Contracts

"Restrictions on Contributions to Convention and Host Committees"

As the 2016 presidential election nears, fundraising efforts surrounding the presidential nominating conventions are beginning to intensify. Each convention is supported by both a convention committee, established by the...more

5/14/2015 - Campaign Contributions Campaign Finance Reform Corporate Contributions Presidential Elections

"MSRB Announces Publication of Proposed Rule G-42 in Federal Register"

On May 11, 2015, the Municipal Securities Rulemaking Board (MSRB) announced that Proposed Rule G-42 (standards of conduct for nonsolicitor municipal advisors), with conforming changes to Rule G-8 (books and records), was...more

5/12/2015 - Books & Records MSRB Rule G-42 SEC

"MSRB Submits Content Outline for Municipal Advisor Representative Qualification Examination to SEC; Pilot Exam to Be Held in Fall...

The Municipal Securities Rulemaking Board (MSRB) recently filed the content outline for the Municipal Advisor Representative Qualification Examination (Series 50) with the Securities and Exchange Commission (SEC). Our March...more

5/4/2015 - Examination Procedures MSRB Municipal Advisers SEC

"MSRB’s Rule G-42 Submitted to SEC for Approval; Rule G-44 Now in Effect"

This alert is to inform you that the Municipal Securities Rulemaking Board (MSRB) recently submitted Proposed Rule G-42 (standards of conduct for nonsolicitor municipal advisors) to the Securities and Exchange Commission...more

4/24/2015 - Disclosure MSRB Municipal Advisers Prohibited Transactions Rule G-42 SEC

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