Category: Rule G-37

Securities and Exchange Commission Looks at Pay to Play Pension Fund Work

Post author By Eric Brown
Post date July 17, 2009
Categories In Rule G-37

The Deseret News reports on Sen. Bennett’s interest in pay to play rules for law firms invovled in pension fund work. The WSJ LawBlog has the SEC’s response and also covers some developments on this topic involving investment firms and fund managers.

MSRB and Broker Dealers’ Contributions

Post author By Eric Brown
Post date June 28, 2009
Categories In Rule G-37

The WSJ printed a compliance watch last week on a Municipal Securities Rulemaking Board proposal to regulate broker dealers’ contributions to bond campaigns on the ballot. Current MSRB rules on contributions don’t address bond ballot campaigns at all – just contributions to individuals’ political campaigns. Broker dealers and the financial professionals they employ aren’t barred […]

Rule G-37

Post author By Eric Brown
Post date March 25, 2008
Categories In Rule G-37

I’ve added a new link to my link list to the MSRB’s database for Rule G-37 filings for municipal finance professionals. For the quick Rule G-37 FAQ check here. All of the interpretive letters are worthwhile, including the latest from September 2007.