2019年5月22日
REVERSEInquiries Volume 2, Issue 5
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:
- Unsuitable Sales of Leveraged ETFs Draw FINRA’s Ire; Text Messaging Violates Communications Rules
- OCIE’s Retail Investor Protection Focus
- Department of Labor Fiduciary Rule Update
- House Passes Resolutions on Financial Literacy and Support for Elderly
- Revised Notice of Proposed Rule Change to FINRA Rule 5110
- Refresher: Using Free Writing Prospectuses for Structured Notes Offerings
