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Episode 43: Pay-to-Play Rule
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Quick hit today to remind investment advisers about the SEC’s pay-to-play rule; formally known as Advisers Act Rule 206(4)-5.
You may have heard that there’s a little election coming up here in November, and you may be emptying the piggy bank in support of your candidates of choice. Before going too hog wild though, make sure you brush up on your pay-to-play rule!
Key Points From This Episode:
- Why should I care about this, especially now?
- What is the pay-to-play rule?
- Who are government clients?
- Any exceptions?
- One oopsie at the end.
Disclaimer:
This show is for informational purposes only. Nothing presented here constitutes legal advice. Tokens of Wisdom is produced by Dave Rothschild, partner at Cole-Frieman & Mallon LLP headquartered in San Francisco, California. For more information, visit https://colefrieman.com/
Links Mentioned in Today’s Episode:
Dave Rothschild - https://www.linkedin.com/in/davidcrothschild/
Cole-Frieman & Mallon LLP - https://colefrieman.com/
Music by Joe Ginsberg - https://www.instagram.com/thejoeginsberg
For any questions or comments, email: tow@colefrieman.com
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