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A business man walks outside of the New York Stock Exchange in New York City.

SEC3 Compliance is monitoring the SEC's proposal to rescind Advisers Act Rule 206(4)-5, commonly known as the "pay-to-play" rule. If adopted, the proposal would eliminate the rule's prescriptive political contribution restrictions and give investment advisers greater flexibility to address pay-to-play risks through their broader compliance programs.

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Crypto regulation in the spotlight

There is a considerable amount of regulatory action happening in connection with crypto and firms operating in this ecosystem need to keep up to date.

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