federal_register: 2016-23225

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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
2016-23225 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to FINRA Rule 2030 Rule The Securities and Exchange Commission ("Commission" or "SEC") is issuing an order finding that Financial Industry Regulatory Authority ("FINRA") rule 2030 (the "FINRA Pay to Play Rule") imposes substantially equivalent or more stringent restrictions on broker-dealers than rule 206(4)-5 (the "SEC Pay to Play Rule) under the Investment Advisers Act of 1940 (the "Advisers Act") imposes on investment advisers and is consistent with the objectives of the SEC Pay to Play Rule. 2016-09-28 2016 9 https://www.federalregister.gov/documents/2016/09/28/2016-23225/political-contributions-by-certain-investment-advisers-ban-on-third-party-solicitation-order-with https://www.govinfo.gov/content/pkg/FR-2016-09-28/pdf/2016-23225.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission ("Commission" or "SEC") is issuing an order finding that Financial Industry Regulatory Authority ("FINRA") rule 2030 (the "FINRA Pay to Play Rule") imposes substantially equivalent or more stringent restrictions...  

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