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1. www.sec.gov › divisions › investmentSEC.gov | Staff Responses to Questions About the Pay to Play Rule

   www.sec.gov › divisions › investment

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   Aug 18, 2017 · A: A contribution to a political party, PAC or other committee or organization would not trigger a two-year time out under rule 206(4)-5(a)(1), unless it is a means to do indirectly what the rule prohibits if done directly (for example, the contribution is earmarked or known to be provided for the benefit of a particular political official ...

2. www.sec.gov › rules › finalAdvisers Act Rule 206(4)-5 (Political Contributions by ...

   www.sec.gov › rules › final

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   Sep 13, 2010 · Importantly, the rule would not ban or limit the amount of political contributions an adviser or its covered associates could make; rather, it would impose a limited "time-out" on conducting advisory business for compensation with a government client after a contribution is made.

3. People also ask

   Can an investment adviser get paid if a PAC makes a political contribution?

   • Under the SEC Pay-to-Play Rule, an investment adviser is prohibited from receiving compensation for managing a government entity's investments for two years after it, a covered employee, or a PAC they control makes a political contribution to certain state or local candidates or officials.

   The SEC pay-to-play rule for investment advisers as it turns 12

   www.reuters.com/legal/legalindustry/sec-pay-to-play-rule-investment-advisers-it-turns-12-2023-03-01/

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   Can advisers make political contributions?

   • Importantly, the rule would not ban or limit the amount of political contributions an adviser or its covered associates could make; rather, it would impose a limited "time-out" on conducting advisory business for compensation with a government client after a contribution is made.

   Advisers Act Rule 206 (4)-5 (Political Contributions by Certain

   www.sec.gov/rules/final/2010/ia-3043-secg.htm

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   How much money can a political adviser contribute to an election?

   • § 275.206(4)-5 Political contributions by certain investment advisers. (a) Prohibitions. As a means reasonably designed to prevent fraudulent, entity. (b) Exceptions. (1) De minimis exception. Paragraph (a)(1) of this section does not apply to in the aggregate do not exceed $150 to any one official, per election.

   Final Rule: Political Contributions by Certain Investment Advisers

   www.sec.gov/files/rules/final/2010/ia-3043.pdf

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   Do advisers need to disclose political contributions?

   • Nonetheless, advisers who advise or are considering advising any government entity should consider requiring full disclosure of any relevant political contributions from covered associates or potential covered associates to ensure compliance with rule 206(4)-5.

   Final Rule: Political Contributions by Certain Investment Advisers

   www.sec.gov/files/rules/final/2010/ia-3043.pdf

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4. www.law.cornell.edu › cfr › text17 CFR § 275.206(4)-5 - Political contributions by certain ...

   www.law.cornell.edu › cfr › text

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   Electronic Code of Federal Regulations (e-CFR) Title 17—Commodity and Securities Exchanges. CHAPTER II—SECURITIES AND EXCHANGE COMMISSION. PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940. § 275.206 (4)-5 Political contributions by certain investment advisers.

5. www.sec.gov › files › rulesFinal Rule: Political Contributions by Certain Investment ...

   www.sec.gov › files › rules

   Political Contributions by Certain Investment Advisers AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Securities and Exchange Commission is adopting a new rule under the Investment Advisers Act of 1940 that prohibits an investment adviser from providing

6. www.stradley.com › insights › publicationsSurviving Election Season: Refresher on Pay-to ... - Stradley

   www.stradley.com › insights › publications

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   Jun 25, 2020 · As a general matter, the rule prohibits advisers and their covered associates from making political “contributions” 4 to any “official” 5 of a “government entity” 6 who was, at the time of the contribution, an incumbent, candidate or successful candidate for an elective office of a government entity if that office could influence ...

7. www.reuters.com › legal › legalindustryThe SEC pay-to-play rule for investment advisers as it turns 12

   www.reuters.com › legal › legalindustry

   Mar 1, 2023 · Under the SEC Pay-to-Play Rule, an investment adviser is prohibited from receiving compensation for managing a government entity's investments for two years after it, a covered employee, or a PAC...

8. smartasset.com › advisor-resources › sec-pay-to-playWhat Is the SEC's Pay to Play Rule? | SmartAsset

   smartasset.com › advisor-resources › sec-pay-to-play

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   Feb 29, 2024 · How SEC Rule 206 (4)-5 Works. The SEC is clear about what type of activity is prohibited for advisors regarding campaign contributions. There are three specific directives laid out in the rule stating that investment advisors cannot: