July 30, 2019
REVERSEinquiries, Volume 2, Issue 7
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:
- The SEC Adds its Voice to the LIBOR Chorus
- FINRA Reminds Firms of Their TRACE Reporting Obligations
- Brokerage Firm Granted Summary Judgment in Reverse Convertible Notes Class Action
- FDIC Eases Requirements on Deposit Tracking
- FINRA Increases Margin Requirements for ETNs and Options on ETNs
- FINRA Sanctions a Brokerage for Failure to Reasonably Supervise Securities Transactions
- Reminder: The EU Prospectus Regulation is Effective – Key Legal Facts
- Insurance Company Buyers of Structured Notes Should Consider Proposed NAIC Amendments
- Clayton Comes Out Swinging Against Critics of Regulation Best Interest
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