James Normile

James Normile

Katten Muchin Rosenman LLP

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FINRA 529 Plan Share Class Initiative Encourages Firms to Self-Report Violations

On January 28, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice announcing the 529 Plan Share Class Initiative, a self-reporting initiative to promptly compensate harmed investors and promote...more

2/7/2019  /  529 Plans , Enforcement , Financial Industry Regulatory Authority (FINRA) , MSRB , Municipal Securities Issuers , Restitution , Self-Reporting , Settlement Offer , Share Class Selection Disclosure Initiative (SCSD)
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