The SEC's investor advocate also raises questions about the agency's concept release.
UBS spokesman: Former broker sold investments 'that were not approved by UBS'
Gerold says decision on a model rule is up to NASAA's membership
Money returned to investors hits highest level — $558 million — since 2014, NASAA reports.
State regulator exams also indicate fewer problems with fees and other areas.
State regulator said limitation is 'contrary to fiduciary duty.'
Finra CEO Cook: 'It's not our rule. It's an SEC rule.'
Thanks to changes in the tax law, 529 plans are being used as estate planning tools and to pay for more education-related expenses than ever before.
Proposals made by Democratic presidential candidates bring into question future need for 529 college savings plans.
Reps joined J.P. Morgan instead of Wells Fargo after shutdown of CS wealth management unit.
