May 22, 2019

REVERSEInquiries Volume 2, Issue 5


Structured and Market-linked Product News for Inquiring Minds

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

  • Unsuitable Sales of Leveraged ETFs Draw FINRA’s Ire; Text  Messaging Violates Communications Rules 
  • OCIE’s Retail Investor Protection Focus 
  • Department of Labor Fiduciary Rule Update 
  • House Passes Resolutions on Financial Literacy and Support for Elderly 
  • Revised Notice of Proposed Rule Change to FINRA Rule 5110 
  • Refresher: Using Free Writing Prospectuses for Structured Notes Offerings

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