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SEC ‘pay-to-play’ enforcement surge projected in 2021

October 21, 2020
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pay to play

It’s been a busy year in American politics, with a presidential race as memorable—for better or worse—as any in recent history. All that attention, all those choices, and all the emotion will translate into more political donations being made in the run-up to the Nov. 3 election.

More donations means more chances that the Securities and Exchange Commission (SEC) will pursue investigations into the little-known and often overlooked “pay-to-play” rule that applies to investment firms and their executives, managers, analysts, and others who solicit fees to manage public investments.

“When the contributions start piling up, the improper contributions can start piling up as well,” said Kelli Haugh.

Foreside’s Kelli Haugh, Managing Director, discussed the ‘pay-to-play’ rule with Aaron Nicodemus from Compliance Week.  Click HERE to learn more!