REVERSEinquiries, Volume 3, Issue 9

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:

• Can the SEC protect investors from themselves?      
• Regulation S-K Transitional FAQs 
• FINRA Proposes a Retail Communication Filing Requirement for Private Placements        
• ARRC Provides Recommendations to US Prudential Banking Regulators to Facilitate USD LIBOR Transition to SOFR    
• US Bank Regulators Finalize Net Stable Funding Ratio Rule        
• Exempt Offering Framework Amendments            
• LIBOR Transition Assistance Legislation Introduced in New York State Senate      
• FINRA Study on Overconfidence and Excessive Risk Taking Among Older Investors; FINRA Proposes Amendments to Rules Affecting Seniors 
• SEC Charges Senior Index Manager for Insider Trading