.... Design/methodology/approach Explains the newly announced results of the SEC’s Share Class Selection Disclosure Initiative. Provides background on the principles underlying the initiative, the mechanics by which the initiative’s self-reporting program operated, and industry reaction to the initiative...

...Susan Light; James Normile; Leonard Licht Purpose To explain FINRA’s new 529 Plan Share Class Initiative, which encourages broker-dealers to self-report violations. Design/methodology/approach This article provides an overview of 529 plans, the various fee structures of the underlying...

... that the CFTC is focused on actively monitoring the markets, and will continue to pursue actions involving reporting violations, fraud, manipulation, cryptocurrencies, and disruptive trade practices while rewarding parties for self-reporting and cooperation. Originality/value This paper contains valuable...

...Bradley J. Bondi; David Slovick; Michael Wheatley Purpose To provide an overview of the Commodity Futures Trading Commission’s (CFTC’s) new self-reporting and cooperation program. Design/methodology/approach Summarizes the key features of the CFTC’s new cooperation program and the CFTC’s...

... Reserve account Self-reporting On June 23, 2016, the Securities and Exchange Commission (the “SEC”) announced that it would begin a coordinated effort across divisions to identify potential violations by broker-dealers of Rule 15c3-3 (the “Rule”) under the Securities Exchange Act of 1934, as amended...