REVERSEinquiries, Volume 2, Issue 9

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