and beyond
From pre-conversion plans through materials and policy development, legal and compliance functions are a vital part of establishing and maintaining a 529 college savings plan.
Upromise Investments' Legal and Compliance teams bring years of expertise in securities law and registration to the development and administration of 529 college savings plans. They are dedicated to supporting 529 plan management and compliance, including contract and plan document management; program rules and industry regulations; and marketing and public relations oversight. This collaboration with state clients and investment partners begins before conversion and continues after the launch.
Upromise Investments is a registered broker-dealer, a member of FINRA, and is registered with the MSRB.