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- W1999439601 abstract "Purpose – The purpose of this paper is to explain two recent actions by the US Securities and Exchange Commission (SEC), a “Settlement Order” and a National Examination Risk Alert, that highlight the importance of compliance controls with respect to political contributions and other political activities.Design/methodology/approach – The paper explains Municipal Securities Rulemaking Board Rule G‐37, one of the earliest pay‐to‐play rules; the Settlement Order and how it addresses in‐kind campaign contributions, solicitation activities, and a municipal dealer's compliance failures; and the Risk Alert, including SEC staff observations and concerns based on examinations of the compliance programs of brokers and dealers engaged in the municipal securities business, practices the SEC staff has found problematic and in violation of Municipal Securities Rulemaking Board Rule G‐37, and certain practices firms have incorporated into their pay‐to‐play compliance programs.Findings – The Settlement Order and Risk Aler..." @default.
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- W1999439601 date "2013-06-28" @default.
- W1999439601 modified "2023-09-25" @default.
- W1999439601 title "Pay to play: recent SEC actions highlight importance of compliance controls" @default.
- W1999439601 doi "https://doi.org/10.1108/joic-05-2013-0015" @default.
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