SEC Fines Adviser $60K Over Alleged Pay-To-Play Violations

By Sydney Price ( April 15, 2024, 10:09 PM EDT) -- The U.S. Securities and Exchange Commission announced Monday that a Minnesota-based investment advisory firm will pay $60,000 to settle allegations it violated the commission's pay-to-play rule, which prohibits investment advisers from providing services to government-related clients for two years following a political campaign contribution....

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