Securities and Exchange Commission Archives - State and Federal Communications

On June 18, a federal appellate court affirmed the legality of a Securities and Exchange Commission (SEC) pay-to-play rule. In New York Republican State Committee v. SEC, the U.S. Court of Appeals for the District of Columbia Circuit found the […]

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On February 7, a bill was introduced in the U.S. House of Representatives to require publicly traded corporations to disclose all expenditures made for political activities. House Bill 1053, the Corporate Political Disclosure Act of 2019, would require publicly traded […]

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The Financial Industry Regulatory Authority (FINRA) has filed a proposed rule change with the Securities and Exchange Commission (SEC) to expand its brand-new pay-to-play rules to cover capital acquisition brokers (CAB). FINRA Rule 2030, which took effect August 20, restricts […]

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On September 2, the Municipal Securities Rulemaking Board (MSRB) requested approval from the Securities and Exchange Commission (SEC) for amendments to MSRB Rule G-20, a conflict-of-interest rule concerning gifts and gratuities. The proposed amendments include limiting gifts to $100 for […]

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On July 31, the Securities and Exchange Commission (SEC) was to begin enforcing pay-to-play rules under 17 C.F.R. §275.206(4)-5 for third party solicitations. However, on June 25, the SEC stated until there is an effective date of a Financial Industry […]

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A suit filed by the Republican parties of New York and Tennessee challenging the Securities and Exchange Commission’s (SEC) Pay-to-Play rule has been dismissed by the U.S. District Court for the District of Columbia. The court held it did not […]

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The Republican parties of New York and Tennessee have filed suit in U.S. District Court for the District of Columbia challenging Securities and Exchange Commission (SEC) Rule 206(4)-5. The plaintiffs allege the rule, which imposes restrictions upon investment advisors and […]

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For the first time, the U.S. Securities and Exchange Commission (SEC) has charged a firm with violations of its pay-to-play rules. On June 20, the SEC charged TL Ventures Inc., a private equity firm, with receiving advisory fees from the […]

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April 2013

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Compliance to Other Rules Starts September 13

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