2019年10月02日
REVERSEinquiries, Volume 2, Issue 9
Authors:
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
