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Advice given on FINRA college savings plans review

FSI NewsBrief | Mar 17, 2017

With the Financial Industry Regulatory Authority's increased scrutiny of 529 college savings plans, a former FINRA surveillance director offers broker-dealers advice on how to ensure their practices are compliant with FINRA requirements. The advice lists several procedures and practices that are recommended for careful review. InvestmentNews (tiered subscription model) (03/16)


Survey delves into commission-, fee-based accounts

FSI NewsBrief | Mar 21, 2017

Injunction is necessary to halt Labor's fiduciary rule, groups say

FSI NewsBrief | Mar 20, 2017

Small retirement plans can still mean healthy profits

FSI NewsBrief | Mar 16, 2017

How to tap into the willing millennial market

FSI NewsBrief | Mar 22, 2017

Top 20 metro areas for "anti-retirees"

FSI NewsBrief | Mar 21, 2017

4 ways to hold down post-retirement tax bills

FSI NewsBrief | Mar 17, 2017

Experts say Trump's promised tax cut could hit 401(k) savers

FSI NewsBrief | Mar 20, 2017

Commentary: How to overcome hurdles for small retirement plans

FSI NewsBrief | Mar 17, 2017

DOL fiduciary duties adds to pressure on advisers

FSI NewsBrief | Mar 20, 2017


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