November 29, 2011 - 12:30 PM - 2:00 PM ET

"Pay-to-Play: Best Practices for Investment Advisers" webinar

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Update: This event has already occurred. Please click here for an audio recording of the webinar, and click here to view presentation slides.

The SEC’s “pay-to-play” rules went into effect earlier this year, imposing significant restrictions on the ability of an investment adviser’s “covered associates” to make political contributions. At the same time, the Supreme Court’s recent decision in Citizens United upheld the First Amendment right of individuals and corporations to make independent expenditures in connection with federal elections. This dichotomy, combined with the increase in third-party 501(c)(4), 527 and “Super PAC” political organizations, has added considerable complexity to the regulatory landscape.

This webinar covers:

  • Best practices for investment advisers and their employees to avoid violating pay-to-play regulations when making political and charitable contributions;
  • An update on pay-to play Rulemaking by the SEC, MSRB, FINRA and CFTC;
  • The interaction between pay-to-play regulations and the Citizens United decision, which reaffirmed the First Amendment right of individuals, corporations and labor unions to make independent expenditures;
  • An overview of third party political organizations such as 501(c)4s, 527s and “Super PACs;” and
  • The do’s and don’ts of political involvement for investment advisers and their employees.

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