federal_register: 2016-20890

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2016-20890 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order With Respect to MSRB Rule G-37 Proposed Rule The Securities and Exchange Commission ("Commission" or "SEC") intends to issue an order pursuant to section 206 of the Investment Advisers Act of 1940 (the "Advisers Act") and rule 206(4)- 5 thereunder (the "SEC Pay to Play Rule") finding that the Municipal Securities Rulemaking Board ("MSRB") rule G-37 (the "MSRB Pay to Play Rule") imposes substantially equivalent or more stringent restrictions on municipal advisors than the SEC Pay to Play Rule imposes on investment advisers and is consistent with the objectives of the SEC Pay to Play Rule. 2016-09-02 2016 9 https://www.federalregister.gov/documents/2016/09/02/2016-20890/political-contributions-by-certain-investment-advisers-ban-on-third-party-solicitation-notice-of https://www.govinfo.gov/content/pkg/FR-2016-09-02/pdf/2016-20890.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission ("Commission" or "SEC") intends to issue an order pursuant to section 206 of the Investment Advisers Act of 1940 (the "Advisers Act") and rule 206(4)- 5 thereunder (the "SEC Pay to Play Rule") finding that the...  

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