News & Analysis as of

Broker-Dealer › Government Entities

The Rodman Law Group, LLC

The Corporate Transparency Act Reporting Exemptions

The Rodman Law Group, LLC on

The Corporate Transparency Act mandates certain reporting requirements for beneficial ownership information for certain companies, with the goal of preventing the illicit use of anonymous shell companies for financial crimes....more

Dechert LLP

Pay-to-Play: FINRA Requests SEC Approval of Proposal to Regulate Political Contributions

Dechert LLP on

The Securities and Exchange Commission (“SEC”) recently published for comments rules proposed by the Financial Industry Regulatory Authority, Inc. (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”) to regulate...more

Burr & Forman

Broker-Dealer “Pay-to-Play” Rule Proposed to SEC

Burr & Forman on

Last week FINRA proposed for SEC adoption a “pay-to-play” rule for broker-dealers engaged in distribution or solicitation activities with government entities.  The Proposed Rule is modeled after investment-adviser pay-to-play...more

Proskauer Rose LLP

SEC Sets Compliance Date for Pay-to-Play Rule's Ban on Third-Party Solicitation of Government Entities

Proskauer Rose LLP on

On June 25, 2015, the Securities and Exchange Commission (SEC) set a compliance date of July 31, 2015 for the ban on payments to third parties for the solicitation of advisory business from any government entity under Rule...more

4 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