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FINRA’s 529 Plan Share Class Initiative
In early 2019, FINRA implemented the 529 Plan Share Class Initiative in response to exam findings that some financial services firms have failed to supervise rep’s share class recommendations …
New SEC Cybersecurity Sweep
The Office of Compliance Inspections and Examinations (OCIE) announced a cybersecurity sweep focused on Investment Advisers with Branch Offices being involved in mergers and acquisitions.