GA
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Client Regulatory Alert: FINRA Extends Self-Reporting Deadline to April 30 for 529 Plan Share Class Initiative
- March 6, 2019
- Posted by: GA
- Category: FINRA
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FINRA announced today, in connection with the agency’s 529 Plan Share Class Initiative (529 Initiative), that it has extended the deadline by which broker-dealers are required to self-report supervisory violations, and to provide FINRA with a plan to remediate harmed customers. In response, FINRA’s Department of Enforcement will recommend that FINRA accept a settlement that includes restitution for
