News & Analysis as of

Pay-To-Play Compliance

Holtzman Vogel Baran Torchinsky & Josefiak

In Compliance: Holtzman Vogel's August 2024 Round-Up

Eighth Circuit Invalidates Missouri's Two-Year Lobbying Ban for Former Legislators and Staffers - The Eighth Circuit Court of Appeals invalidated a Missouri state constitutional amendment that imposed a two-year lobbying...more

WilmerHale

Pay-to-Play Alert: Implications of a Governor Joining a Presidential Ticket

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Vice President Kamala Harris’ selection of Minnesota Governor Tim Walz as her running mate highlights a wrinkle in Investment Advisers Act Rule 206(4)-5 (the “Pay-to-Play Rule” or “Rule”) to which investment advisers should...more

Venable LLP

Political Giving: A Primer for High-Net-Worth Individuals and Family Offices

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For many years, supporters of a candidate or a cause simply wrote a check and asked friends and colleagues to do the same. But the opportunities to influence elections and public policy have evolved significantly, allowing...more

Proskauer - The Capital Commitment

Key Steps for Fund Managers to Avoid Scrutiny Under the SEC’s Pay-to-Play Rule

The SEC’s recent settlement involving a “pay-to-play” rule violation by a private equity firm is a timely reminder for fund managers, especially with the November elections approaching. As a refresher, Rule 206(4)-5 of...more

Wiley Rein LLP

How to Reduce Your Political-law Risk in Five Easy Steps

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Political-law risk is always present, but it becomes particularly acute in even-numbered election years such as 2024. Below, however, we outline five easy steps you and your organization - whether it is a corporation,...more

WilmerHale

Recent Pay-to-Play Settlement: Notwithstanding a Strong Dissent Over 206(4)-5 Overbreadth, the Need for Strong Compliance Policies...

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With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of Investment Advisers Act Rule 206(4)-5 (the...more

Morrison & Foerster LLP

Investment Adviser Compliance Index - March 2024

The Investment Advisers Act of 1940 (the “Advisers Act”) is a relatively compact statute, and for many years the Securities and Exchange Commission (SEC) adopted relatively few regulations specifically targeting Advisers Act...more

Genova Burns LLC

Pennsylvania Government Contractor Pay-to-Play Disclosure Deadline - February 15, 2024

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Under Pennsylvania's pay-to-play disclosure law, any business entity that has been awarded any no-bid contract by the Commonwealth of Pennsylvania or any of its political subdivisions must file a disclosure with the...more

WilmerHale

Recent Exemptions from Rule 206(4)-5 Demonstrate the Importance of Strong Compliance Policies and Quick Corrective Action

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Recently, the Securities and Exchange Commission (SEC) has demonstrated its willingness to largely forgo the strict consequences of Investment Advisers Act Rule 206(4)-5 (the “Pay-to-Play Rule”) in circumstances where...more

Genova Burns LLC

Compliance Corner: Calling all NJ Government Contractors - The ELEC Pay-to-Play Annual Disclosure March 30th Filing Deadline is...

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New Jersey’s annual pay-to-play filing deadline will be here at the end of March. If your business entity received payments of $50,000 or more (in the aggregate) as a result of New Jersey government contracts during the 2022...more

Wiley Rein LLP

Your First Post-Election Compliance Concern: DC’s New Pay-to-Play Law Operational November 9

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With the 2022 general election upon us, it is very important to remember that the District of Columbia’s new pay-to-pay law becomes operational the day after the election on November 9, 2022. Unless your company, partnership,...more

Pillsbury Winthrop Shaw Pittman LLP

Newsom Eliminates 40-Year-Old Exemption from California’s Pay-to-Play Law

After 40 years of being exempt, local elected officials become subject to “pay-to-play” and recusal requirements. Local elected officials, such as county supervisors and city council members, are now subject to the state’s...more

Pillsbury Winthrop Shaw Pittman LLP

Corporate Transactions: Don’t Leave the Political Law Stone Unturned

Especially in an election year, due diligence in corporate mergers and acquisitions is incomplete without reviewing political law compliance. Due diligence often overlooks political law compliance issues, which can result...more

Genova Burns LLC

Political Compliance Calendar for 2022

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With the new year comes an opportunity to review and re-set the political-law compliance for campaigns, PACs, lobbyists, businesses, and individuals. The following checklist provides a brief overview of upcoming dates on the...more

Genova Burns LLC

Pennsylvania Government Contractor Pay-to-Play Disclosure Deadline: February 15, 2021

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Under Pennsylvania's pay-to-play disclosure law, any business entity that has been awarded any no-bid contract by the Commonwealth of Pennsylvania or any of its political subdivisions must file a disclosure with the...more

K&L Gates LLP

Compliance Reminder: Pay-to-Play and the 2020 Election Cycle

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INTRODUCTION - As the November 2020 elections approach, investment advisers and other financial institutions who do business with, or seek to do business with, public pension plans and other government entities should...more

Skadden, Arps, Slate, Meagher & Flom LLP

Reminder: Illinois Pay-to-Play Registration Updates Due Quarterly

The next quarterly update required under the Illinois pay-to-play law is due August 14, 2020. As described in earlier mailings, this law requires many companies with aggregate annual state bids, proposals and contracts...more

Nossaman LLP

Compliance Notes – Vol. 1, Issue 12

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Campaign Finance & Lobbying Compliance - Arizona: The Secretary of State’s Office found reasonable cause that the Goldwater Institute violated a law requiring lobbyists to register with the state after Goldwater testified...more

Nossaman LLP

Compliance Notes – Vol. 1, Issue 10

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Welcome to Volume 1, Issue 10 of Compliance Notes from Nossaman’s Government Relations & Regulation Group – a periodic digest of the headlines, statutory and regulatory changes, and court cases involving campaign finance,...more

Pillsbury Winthrop Shaw Pittman LLP

Text, Alexa, Bitcoin—Technology Makes Political Contributions Easier

Is your political compliance program ready for the 2020 election season? With the 2020 election season underway, now is a good time to make certain your internal policies and procedures address applicable campaign...more

Morrison & Foerster LLP

Investment Adviser Compliance Index - 2019

The Investment Advisers Act of 1940 (the “Advisers Act”) is the shortest of the federal securities laws enacted after the Great Depression, and the SEC has adopted relatively few regulations under the Advisers Act. As any...more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden's 2019 Insights: Political Law: What to Consider When Providing Investment Fund Services to US State and Local Government...

With heightened attention to investment and depository rules as well as increased enforcement of federal and state pay-to-play rules, registered investment advisers (RIAs) and broker-dealers should address the unique legal...more

Womble Bond Dickinson

DC Circuit Court Rejects Challenge to SEC Pay-to-Play Rule

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The DC Circuit Court has rejected an effort by the New York and Tennessee Republican Parties to set aside Securities and Exchange Commission Rule 206(4)-5. The 2010 SEC rule prohibits investment advisers from providing...more

Burr & Forman

DC Circuit Tosses Republican’s Challenge to Adviser Pay-to-Play Rule

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The District of Columbia Circuit Court of Appeals Tuesday rejected a challenge to the SEC’s investment-adviser pay-to-play rule, holding that two state Republican Party organizations filed it almost four years too late....more

Proskauer Rose LLP

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

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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

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