N.J. Admin. Code § 17:4A-3.4

Current through Register Vol. 56, No. 23, December 2, 2024

Section 17:4A-3.4 - Indirect violations

(a) No investment management firm, investment management professional, or third-party solicitor shall, directly or indirectly, through, or by, any other person or any means whatsoever, do any act that would violate the provisions at N.J.A.C. 17:4A-3.2 or 3.3.

(b) Indirect violations shall include, but are not limited to:

1. A family member or other person making political contributions or payments to a political party on the person or entity's behalf;

2. A person or entity making payments to a Federal party committee or other political committee or organization for the purpose of influencing State or local elections governed by this subchapter; and

3. A third-party solicitor making political contributions or payments to a political party in order to encourage the engagement of an investment management firm for which it is not directly soliciting business from the Board.

N.J. Admin. Code § 17:4A-3.4

Adopted by 53 N.J.R. 1147(a), effective 7/6/2021

Recodified from 17:4A-3.5 by 56 N.J.R. 795(a) effective 5/6/2024