June 21, 2022
REVERSEinquiries Newsletter Volume 5 Issue 2
Authors:
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
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