Thursday, August 18, 2011
SEC Posts Pay To Play Staff Guidance Online
The staff of the Division of Investment Management at the Securities & Exchange Commission ("SEC") is now providing responses to questions posed in relation to its recently adopted pay to play Rule 206(4)-5 under the Investment Advisers Act of 1940. The last update was provided on April 28, 2011, so I would anticipate additional responses being provided in the near future.
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