Securities

Recent Posts

Pay to Play Rules for Placement Agents
Posted on 20 Jan 2011 by Doug Cornelius

The SEC imposed strict limitations on the ability of investment advisers to make political contributions when their clients include government bodies when it issued Rule 206(4)-5 . They don't want government investment decisions decided campaign... Read More

Placement Agent Limitations on Gifts
Posted on 24 Feb 2011 by Doug Cornelius

The Municipal Securities Rulemaking Board is continuing to tighten the limits on what placement agents can do as part of their fundraising activities for private funds. Dodd-Frank created a new category of "municipal advisors" and placed... Read More

  • Blog Post: Pay to Play Rules for Placement Agents

    The SEC imposed strict limitations on the ability of investment advisers to make political contributions when their clients include government bodies when it issued Rule 206(4)-5 . They don't want government investment decisions decided campaign contributions. This limitation also applies to...
  • Blog Post: Placement Agent Limitations on Gifts

    The Municipal Securities Rulemaking Board is continuing to tighten the limits on what placement agents can do as part of their fundraising activities for private funds. Dodd-Frank created a new category of "municipal advisors" and placed them under the regulatory oversight of the MSRB....