REVERSEinquiries, Volume 3, Issue 6

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:

• Regulation Best Interest and Form CRS Compliance Date: June 30, 2020
• FINRA Rules Amended to Conform to Reg BI
• ARRC:  LIBOR Hard Stop by December 31, 2020
• FINRA Report on Artificial Intelligence in the Securities Industry
• FINRA Fines a Broker-Dealer for Violations Involving Early Rollovers of UITs
• SEC’s OCIE to Begin LIBOR Preparedness Exams 

If you have any questions about the matters addressed in this issue, please contact reverseinquiries@mayerbrown.com.