Washington, D.C. political law counsel Patty Zweibel spoke before PLI's Financial Services Industry Regulatory Compliance & Ethics Forum on October 30. Ms. Zweibel's remarks centered on various federal and state pay-to-play laws, including MSRB Rule G-37 for broker-dealers, SEC Rule 206(4)-5 for investment advisers, CFTC Rule 23.451 for swap dealers, proposed MSRB Rule G-42 and the new municipal advisor registration rule. Patty also discussed state and local lobbying laws, some of which regulate procurement activities, as well as placement agent rules and contingency fee bans.
Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates