Bates & Company, Inc.
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Regional Vice President of Sales The Retirement Plan Company
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Loan & Distribution Specialist AimPoint Pension
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AimPoint Pension
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Compass
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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SEC Proposed Rules to Curtail 'Pay to Play' by Public Plan Advisers
Groom Law Group [Guidance Overview] Aug. 5, 2009 Excerpt: On August 3, the Securities and Exchange Commission (SEC) published its proposed new rules addressing so-called 'pay to play' practices by investment managers and advisers seeking to manage money for state and local governments, including public pension funds and college savings plans (529 plans).... In recent years, federal and state regulators have brought both civil and criminal enforcement cases in connection with pay to play schemes involving public funds in New York, New Mexico, Connecticut, Illinois and Florida. [See the] memo for a summary and further discussion of the proposed rules. |
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