2018年4月24日
REVERSEinquiries, Volume 1, Issue 1
REVERSEinquiries is Mayer Brown’s new structured and market-linked products-focused newsletter. In this inaugural issue, we discuss:
- Banks and the BEAT;
- FINRA Explains its Enforcement Philosophy;
- FINRA Zeroes in on Sales of VIX-linked Products to Retail Investors;
- Amendments to FINRA’s Mark-up Rule to Become Effective on May 14, 2018;
- The SEC’s Proposed Best Interests Rule—It’s Here!;
- SEC Highlights Efforts to Protect Retail Investors;
- Recommended SEC Pilot Program for Changing Block Trade Reporting Requirements Includes Structured Notes Trades; and
- Good Disclosure Causes Early Delisting of ETN by Nasdaq.