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REVERSEinquiries, Volume 2, Issue 9

USA - October 2 2019 The Office of Compliance Inspections and Examinations ("OCIE") released a Risk Alert identifying the most common compliance issues, as identified by…

Bradley Berman, Agustin Ferrari, Anna T. Pinedo, Emanuil Stoichev

Reverse inquiries-structured and market-linked product news for inquiring minds

USA - June 27 2019 The Alternative Reference Rates Committee (“ARRC”) held a roundtable on June 3, 2019. The ARRC hosted a number of industry participants, and the…

Leslie S. Cruz, Bradley Berman, Stephanie M. Monaco, Anna T. Pinedo, Hanwen Zhang

Components of Regulation Best Interest

USA - June 13 2019 On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934…

Regulation Best Interest

USA - June 12 2019 On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934…

Bradley Berman, Anna T. Pinedo

On point. - FINRA Communications Rules

USA - January 7 2019 Rule 2210 governs three categories of “communications” by FINRA member firms: institutional communications, retail communications and correspondence…

Bradley Berman