SEC's Pay-To-Play Crackdown: Settlement Sends Strong Message On Political Contributions

Authors :: Moss, Scott
Source :: Mondaq Business Briefing. September 6, 2024
Publication Year :: 2024
Abstract: On August 19, 2024, the U.S. Securities and Exchange Commission (SEC) settled with a registered investment adviser (Adviser),1 whereby the Adviser paid a $95,000 civil money penalty in addition to [...]

Subjects :: United States. Securities and Exchange Commission -- Powers and duties
Campaign funds -- Laws, regulations and rules
Investment advisers -- Laws, regulations and rules
Government regulation
Business, international

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