News & Analysis as of

Share Classes Financial Industry Regulatory Authority (FINRA) Self-Reporting

Eversheds Sutherland (US) LLP

FINRA’s 529 plan share class initiative

On January 28, 2019, the Financial Industry Regulatory Authority, Inc. (FINRA) launched its 529 Plan Share Class Initiative (the Initiative) to encourage member firms to self-report potential violations of rules governing 529...more

King & Spalding

FINRA Incentivizes Member Firms to Self-Report and Remediate 529 Plan Deficiencies

King & Spalding on

On January 28, 2019, FINRA announced a novel leniency initiative that will offer no-fine enforcement resolutions for member firms that self-report supervisory deficiencies related to recommendations of 529 savings plans and...more

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

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