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Pay-to-Play Violations | Maxwell Baker Insights
Vigilant Insights Introduction A Texas Firm was charged a $95,000 penalty on August 19th for violating the Pay-to-Play Rule. This occurred because an employee had donated over $7,000 to an elected official who’s […]
Read MoreRIA Pay-To-Play Violation Involving a Campaign Contribution
SEC Releases Introduction On April 15, 2024, the SEC announced an RIA violated the Pay-To-Play Rule by continuing to receive compensation from a government entity within two years after […]
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