octobre 02 2019

REVERSEinquiries, Volume 2, 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:

  • Frequent Principal and Trading Agency Cross Transactions Compliance Issues
  • FINRA Sanctions Representative and Member for Unsuitable Recommendation of Financial Product    
  • Attorneys General Sue the SEC to Invalidate Regulation Best Interest 
  • FINRA Updates Rule 2232 FAQs  
  • SEC Enforcement Update           
  • SEC Summarizes Regulation Best Interest and Form CRS Relationship Summary    
  • FINRA: Keep Advertising Simple  

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