SEC Proposes Amendments to the Pay to Play Rule

Jan 3 2011 | 11:27am ET

By Cheri Hoff, Renée Dailey and Josephine Moon (Bracewell & Giuliani) -- On November 19, 2010, the Securities and Exchange Commission proposed new rules and amendments implementing certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Among other things, the new rules propose amendments to the "pay to play" rule under the Investment Adviser's Act of 1940.


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