Why FINRA's 529 Plan Self­Reporting Initiative Matters a Year Later For Participating Firms That Did Not Participate

By Kamaran Fotouhi, John Ivan, Christine Cornejo,

Brian Rubin, and Sarah Sallis

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About the Authors:

Kamran Fotouhi is a managing director at Capital Forensics, Inc. He may be reached at Kamran.Fotouhi@CapitalForensics.com

John Ivan is a managing director at Capital Forensics, Inc . He may be reached at John.lvan@CapitalForensics.com.

Christine Cornejo is a managing director at Capital Forensics, Inc. She may be reached at Christine.Cornejo@CapitalForensics.com.

Brian Rubin is a partner at Eversheds Sutherland. He can be reached at brianrubin@evershedssutherland.com.

Sarah Sallis is an associate at Eversheds Sutherland.

She can be reached at sarahsallis@evershedssutherland.com.

JUNE 2020 NSCP CURRENTS 19