REVERSEinquiries, Volume 1, Issue 8 | Perspectives & Events

Authors

REVERSEinquiries is Mayer Brown’s structured and market-linked products-focused newsletter.

In this issue, we discuss:

FINRA’s Reorganized and Simplified Advertising Web Pages;
SEC Report on Fiscal Year 2018 Enforcement Results;
OCIE Examination Initiatives Will Focus on Proprietary Indices;
New Jersey to Propose a Uniform Fiduciary Standard for Financial Professionals;
SEC Investor Advisory Committee’s Recommendations Regarding Proposed Regulation Best Interest;
Daily Redeemable Notes versus Exchange Traded Notes;
The FANG Index and its Significant Constituents; and
FINRA’s 2018 Report on Examination Findings and Structured Products.

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