2019年3月11日
REVERSEinquiries Volume 2, Issue 3
Authors:
REVERSEinquiries is Mayer Brown’s new structured and market-linked products-focused newsletter. In this issue, we discuss:
- SEC Commissioner Calls for Index Regulation;
- FINRA Investor Alert – High-Yield CDs as Marketing Ploys;
- FINRA Makes a Dispensation on Backtested Data to Open-End Investment Companies;
- Listing Exempt Securities;
- German Securities Law: Revolution on the Horizon; and
- Refresher: Sales of Structured Products at Bank Branches – Networking Arrangements.
