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FINRA Proposes New Rules for Firms with a Significant History of Misconduct

USA - May 6 2019 On May 2, 2019, FINRA proposed new Rules that would impose financial and other obligations on member firms with significant levels of risk-related...

Sarah K. Yates.

Q&A with FINRA Regarding the 529 Plan Share Class Initiative

USA - February 28 2019 On January 28, 2019, FINRA issued Regulatory Notice 19-04 (the "Notice"), announcing the launch of its 529 Plan Share Class Initiative (the...

Katelyn H. Wilson.

FINRA Issues 529 Plan Share Class Initiative Encouraging Firms to Self-Report

USA - January 30 2019 On January 28, 2019, FINRA issued Regulatory Notice 19-04 (the "Notice"), announcing the launch of its 529 Plan Share Class Initiative (the...

David J. Butler, Kerry A. Zinn, Katelyn H. Wilson.