The Financial Industry Regulatory Authority is in the midst of drafting rules prohibiting broker-dealers who are also third-party marketers from making political contributions to certain government officials as part of the Securities and Exchange Commission’s larger, year-long effort to address pay to play activities in the pension fund world.
第二季度在第二季度的某一点，仲裁署专员预计将投票表决，这些规则是根据有关市政证券承载业务的现有规则建模的规则。
Late last year, Andrew “Buddy” Donohue, director of the SEC’s Division of Investment Management, wrote a letter to FINRA chairman and CEO Richard Ketchum asking whether the SRO would be willing to draft some rules on third party marketing in the event the SEC’s IM staff decided to include in its final recommendations a provision to exempt broker-dealers from any placement agent ban. “It occurs to us that an exception to the ban for registered broker-dealers acting as legitimate placement agents might be feasible if FINRA were to implement rules that would prohibit pay to play activities by those persons,” Donohue wrote, according to a副本这封信在SEC的网站上。
上个月，Ketchum写了Donohue Back说他“很高兴地说，我们处于一个职位上颁布这样的规则。”
“我们认为，FINRA提案应该对会员经纪人经销商的监管要求施加严谨性，并且由于SEC对投资顾问的罪名而令人膨胀”Ketchum在信中表示。
通过芬兰准备携带规则来管理第三方营销，证券委员会的工作人员可以选择委员会委员会禁令和经纪人交易商例外的选项，让门开放为BDS作为展示优惠只要他们规定芬兰规则可能会禁止的规则，这一段时间，为营销人员正在征求企业的人员作出政治贡献。
上个月，Donohue告诉II时事通讯遵守记者，即美国证券交易委员会工作人员可能建议允许货币管理人员使用第三方营销人员，只要这些第三方本身就受到一些监管制度，即股票或托管。