REVERSEinquiries Newsletter Volume 5 Issue 2

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