Posts tagged Bank Holding Act.
On September 30, the D.C. District Court rejected two GOP state committees' challenge to the SEC's regulation prohibiting pay-to-play among investment advisors. Bowing to "curious" precedent in which words don't mean what they say and produce inconsistent results, the Court held the challenge must be filed in the U.S. Court of Appeals, not the District Court. The New York and Tennessee GOP Committees sought declaratory and injunctive relief to prevent the SEC from enforcing its four-year-old investment adviser pay-to-play prohibitions. 17 C.F.R. § 275.206(4)-5. The Court ...
Posted in: SEC
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