finra notice 19-04
-
Why FINRA’s 529 Plan Self- Reporting Initiative Matters a Year Later For Participating Firms and for Firms That Did Not Participate
- July 13, 2020
- Posted by: giawatkins
- Category: Uncategorized
No Comments
NSCP Currents — the flagship publication of the National Society of Compliance Professionals — has published “Why FINRA’s 529 Plan Self- Reporting Initiative Matters a Year Later For Participating Firms and for Firms That Did Not Participate,” an in-depth report co-authored by Capital Forensics and Eversheds Sutherland. Read the article HERE.
-
CFI / Eversheds 529 Plan Initiative Report Published by the National Society of Compliance Professionals
- March 1, 2019
- Posted by: giawatkins
- Categories: Critical Issues, FINRA
NSCP Currents — the flagship publication of the National Society of Compliance Professionals — has published “Understanding FINRA’s 529 Plan Share Class Initiative,” an in-depth report co-authored by Capital Forensics and Eversheds Sutherland. Read the article HERE.
-
Capital Forensics, Inc. and Eversheds Sutherland Release In-Depth Report on FINRA’s Regulatory Notice 19-04 Regarding 529 Plan Self-Reporting Initiative
- February 21, 2019
- Posted by: giawatkins
- Categories: Compliance, FINRA
Many Broker-Dealers Still Unaware of Extent of the Information Required by FINRA; The CFI/ES 529 Report Outlines Steps for Firms, With Self-Reporting Deadline Looming PALATINE, Ill. and WASHINGTON, Feb. 21, 2019 /PRNewswire/ — Capital Forensics, Inc. (CFI) and Eversheds Sutherland (ES) announced today the publication of their in-depth Report that provides a detailed analysis of
