Bates Group’s FINRA 529 Share Class Initiative Support for Firms
Last week, Bates sent a time-sensitive Alert concerning FINRA’s new Share Class Initiative -- similar to the SEC’s Share Class Initiative, except that FINRA’s focus is on 529 savings plans.
Bates has deep and proven experience and expertise in share class disclosure matters. To support firms facing FINRA’s 529 Plan disclosure and remediation initiative, Bates has created a plan that provides essential end-to-end steps and solutions to identify and address accounts and clients impacted by share class selection.Full Article
The State of Play on Cryptocurrency Regulation
For legislators and regulators, writing rules for crypto-related assets requires balancing the tension between innovation and entrepreneurship, and between sound markets and investor protection. Bates Research has previously described some of the definitional challenges which directly affect which agencies govern crypto assets. In this article, we review recent developments in the ongoing debate over regulating crypto, including legislative proposals, and regulatory activity by leadership at the SEC, the CFTC and FINRA.Full Article
Bates Group Welcomes New Managing Director Hank Sanchez
Bates is proud to welcome Hank Sanchez, Esq. as a Managing Director. Hank is a seasoned compliance and legal professional as well as a former regulator with both the SEC and FINRA.Full Article