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Réglementation et droit · 28/09/20161 min de lecture
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to FINRA Rule 2030
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Résumé
The Securities and Exchange Commission ("Commission" or "SEC") is issuing an order finding that Financial Industry Regulatory Authority ("FINRA") rule 2030 (the "FINRA Pay to Play Rule") imposes substantially equivalent or more stringent restrictions on broker-dealers than rule 206(4)-5 (the "SEC Pay to Play Rule) under the Investment Advisers Act of 1940 (the "Advisers Act") imposes on investment advisers and is consistent with the objectives of the SEC Pay to Play Rule.
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