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Keywords: Pay-to-Play Rule
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Journal Articles
Pay to play violations: an SEC focus
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (2): 13–15.
Published: 03 July 2017
...Robert Van Grover Purpose To explain and analyze the SEC’s January 17, 2017 announcement of settlements with ten investment advisory firms related to charges that those firms violated Rule 206(4)-5, known as the “Pay-to-Play Rule,” of the Investment Advisers Act of 1940. Design/methodology...
