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Legal Services Relating to Securities Law & Tuition Programs

Publication Date
02/06/2019 04:45 AM EST
Closing Date
02/22/2019 05:00 PM EST
Issuing Organization
State of Utah - Office of the Attorney General
Solicitation Number

Specifications include, but are not limited to: The AG anticipates that my529 will have the need for legal services related to qualified tuition programs over the course of the contract period. However, the AG and my529 do not guarantee the number, the dollar amount, nor the types of needs that may occur. 1. Provide legal advice on how other sections of the Internal Revenue Code may impact qualified tuition programs in general and my529 in particular. 2. Provide legal advice regarding the applicability of the various Securities Laws to my529 and the 529 Plan that it administers, including the applicability of exemptions from the Securities Laws for the issuance of municipal fund securities; 3. Provide legal advice regarding issues that arise under 26 U.S.C.ยง529 and Securities Law, in particular, the โ€™40 Advisers Act, the โ€™40 Company Act, Dodd-Frank, and MSRB; 4. Provide legal advice regarding issues that arise with registered and or exempt investment companies and investment advisers as well as broker-dealers with particular expertise in mutual funds and Section 529 Plans; 5. Act as disclosure counsel and review disclosure documents and advertising materials; 6. Interpret and work with SEC No-Action Letters; 7. Determine the applicability of the Securities Laws to my529 as a 529 Plan offered directly to the public; 8. Identify and evaluate the applicability of new Securities Law issues presented for Section 529 Plans as a result of Dodd-Frank Amendments to the โ€™34 Act or to any other Securities Laws; 9. Provide, if requested by the Board or my529, an opinion of counsel as to compliance with Securities Laws or advise on alternative regulatory options; 10. Provide consulting and other specific legal services as requested by the Board or my529.

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