Splet22. sep. 2024 · The SEC’s Pay-to-Play Rule. SEC Rule 206(4)-5 places limits on political contributions made by certain “covered associates” of an investment adviser that has a … Splet09. maj 2011 · There may be times when someone employed by an adviser's affiliate could be considered a covered associate under the SEC's pay-to-play rule but generally ...
Advisers Act Rule 206(4)-5 (Political Contributions by …
Splet09. jul. 2010 · There are de minimis exceptions to the general rule for contributions by individual covered associates (but not the Adviser itself) for aggregate contributions of $350 per candidate, per election by an … Splet25. jun. 2024 · The de minimis exception allows an adviser’s covered associate that is a natural person to contribute: (1) up to $350 to an official per election (with primary and … bu-67211u200r-jl0
Pay-to-Play Regulation and Enforcement in 2024 - Vedder Price
Splet24. mar. 2024 · The “Pay to Play” Rule . Since its adoption in 2010, the “pay-to-play” rule (the “Rule”, which is Rule 206(4)-5 under the Investment Advisers Act of 1940), has materially impacted the business development activities and compliance programs of investment advisers. Splet23. sep. 2024 · The SEC's Pay-to-Play Rule. SEC Rule 206(4)-5 places limits on political contributions made by certain "covered associates" of an investment adviser that has a contract with a government client. However, only contributions to candidates for an office that has the authority to influence the government's award of an investment advisory … SpletPAY-TO-PLAY Rule 206(4)-5 under the Advisers Act4 prohibits, among other things, the receipt of compensation for providing investment advisory services to a U.S. state or local government entity (including government pension plans) within two years of a contribution by the investment adviser or a “covered associate”5 of the investment adviser bu84j