Pittman, Edward; Carroll, Brenden; Murphy, Sean - In: Journal of Investment Compliance 14 (2013) 2, pp. 21-27
Securities Rulemaking Board Rule G‐37, one of the earliest pay‐to‐play rules; the Settlement Order and how it addresses in … Board Rule G‐37, and certain practices firms have incorporated into their pay‐to‐play compliance programs. Findings – The …
