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Searching Content indexed under Corporate/Commercial Law by Melissa L. Miles ordered by Published Date Descending.
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D.C. Circuit Upholds Federal Pay-To-Play Rule
On June 18, 2019, the U.S. Court of Appeals for the District of Columbia Circuit dismissed a challenge to FINRA pay-to-play Rule 2030 brought by the New York Republican State Committee and the Tennessee Republican Party.
United States
8 Jul 2019
2
An Update For Financial Institutions On Presidential Candidates Covered Under Federal Pay-To-Play Rules
Financial institutions and their employees may be subject to the following federal pay-to-play rules: SEC Rule 206(4)-5 for investment advisers; CFTC Rule 23.451
UK
16 May 2019
3
New Hampshire Moves To Require Corporations To Register As PACs; New York Codifies Placement Agent Ban
The New Hampshire Office of the Attorney General recently has indicated that, going forward, it will interpret state campaign finance law to require certain corporations making contributions in the state to register...
UK
5 Nov 2018
4
MSRB Notes Compliance Risks Of Issuer-Solicited Charitable Donations
Recently, the Municipal Securities Rulemaking Board (MSRB) noted in its quarterly compliance newsletter dated June 8, 2018 that it has "compliance concerns" regarding issuer-solicited charitable...
United States
16 Aug 2018
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