décembre 10 2018

REVERSEinquiries, Volume 1, Issue 8


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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