With the presidential election season heating up exceptionally early this time around, the benefits of absorbing a refresher on the SEC’s pay-to-play rule are not up for debate. Many worry how the SEC’s pay-to-play rule’s punishing two-year time-out on payments would harm their firm’s paycheck. However, a violation would cause even longer lasting damage as the adviser’s tarnished reputation could potentially drive away clients.
Of Counsel Kelley A. Howes will speak on a panel focused on SEC Rule 206(4)-5, also known as the SEC’s pay-to-play rule.
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