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September 2012 M T W T F S S 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 Archives
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Monthly Archives: September 2012
Pay-to-Play Alert
The SEC issued an alert on Friday regarding compliance with its Pay-to-Play rule. The Risk Alert issued by the agency’s Office of Compliance Inspections and Examinations notes that SEC examiners have observed practices that raise concerns about firms’ compliance with their obligations … Continue reading
Hill Compliance Advisors' Blog 