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Deadlines Self-Disclosure Requirements

UB Greensfelder LLP

FINRA’s 529 Share Class Self-Disclosure Initiative: If It’s Good Enough For The SEC, It Must Be Good Enough For FINRA

UB Greensfelder LLP on

About a year ago, the SEC offered investment advisors the unique opportunity to report themselves to the SEC if they sold mutual funds to their clients that offered a lower priced share class than the class actually selected...more

Burr & Forman

Municipal Issuers Face Dec. 1 Deadline For MCDC Self-Reporting

Burr & Forman on

State or local government entities, special tax districts, hospital districts and other municipal bond issuers face a December 1 deadline to respond to the SEC Enforcement Division’s “Municipalities Continuing Disclosure...more

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