We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Sonia R. Gioseffi K&L Gates

Results 1 to 5 of 6
Most popular |Most recent

FINRA Capital Acquisition Brokers Now Subject to Pay-to-Play Rules

USA - October 24 2017 The pay-to-play rules have expanded to FINRA capital acquisition brokers (“CABs”) and the investment advisers who use CABs to solicit governmental...

Eden L. Rohrer, Evan Glover.

DAO and the Art of Securities Regulation: SEC Clarifies that Digital Tokens May Be “Securities”

USA - August 1 2017 The rapid rise of distributed ledger technology and the spate of recent initial coin offerings (“ICOs”) have focused attention on whether, and in what...

Anthony R.G. Nolan, Vincente L. Martinez, Eden L. Rohrer, Robert M. Crea, Kevin White.

Pennsylvania Treasurer Prohibition on Third Party Placement Agents

USA - February 8 2017 The Treasurer of the Commonwealth of Pennsylvania has prohibited investment managers from using third-party placement agents for funds managed on...

Ruth E. Delaney, Cary J. Meer.

New California Law Mandating Disclosure of Certain Fees and Expenses

USA - September 20 2016 The California Government Code has been amended to require additional public disclosure about investments by state or local California public pension...

Cary J. Meer.

Impact of Pay-to-Play Rules in the 2016 Election Cycle

USA - August 18 2016 The federal Pay-to-Play Rules may impact campaign contributions in the 2016 election and, in particular, campaign contributions to a major party’s...

Clifford J. Alexander, Ruth E. Delaney.