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Many investment advisers provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In other words, the adviser is hired by the employer to design or manage the Plan itself. In other cases, the...Learn More
Every year, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) publishes its examination priorities to address risks that are a potential threat to investors or the integrity of the U.S. capital markets. On December 20, 2018, OCIE released its…Read More
FINRA recently announced its 529 Plan share class self-reporting initiative in Regulatory Notice 19-04. This initiative is consistent with FINRA’s efforts to employ remote surveillance and to have broker-dealers promptly remedy potential supervisory and suitability violations relative to share class…Read More