Additional Authors     Marc Leong   |   G. Nicole Veru

REVERSEinquiries is Mayer Brown’s structured and market-linked products-focused newsletter. In this issue, we discuss:

  • SEC Request for Comment on “Information Providers”
  • Chair Gensler Warns about Structured Investment Company Act Products
  • Registered Index-Linked Annuities – Creating a Flexible Platform
  • SEC Proposes Amendments to the Names Rule and ESG Disclosure
  • SEC RIA Enforcement Action
  • The SEC’s Proposed Amendments to Regulation M
  • Panel Discussion Regarding Ethical Artificial Intelligence and “Roboadviser” Fiduciary Responsibilities
  • FINRA Releases Notice on Complex Products and Options
  • Filing Fee Table Changes