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Searching Content by Lailey Rezai from Mayer Brown ordered by Published Date Descending.
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Proposed State Securities Registration Amendments For Smaller Offerings
On November 1, 2018, the North American Securities Administrators Association, Inc. ("NASAA") released for public comment proposed updates to the SCOR Statement of Policy and the SCOR Form (Form U-7).
United States
23 Nov 2018
2
FinCEN's Beneficial Ownership Requirement
Effective May 11, 2018, final rules adopted by the Financial Crimes Enforcement Network, or FinCEN, under the Bank Secrecy Act require "covered financial institutions" (e.g., federal regulated banks, federal insured credit unions, mutual funds, broker dealers, futures commission merchants) ,,
United States
1 Aug 2018
3
SEC Hosts 2018 Meeting of the Elder Justice Coordinating
On June 5, 2016, the SEC hosted the spring 2018 meeting of the Elder Justice Coordinating Council (the "Council"). The meeting focused on elder abuse. Chair Clayton's opening remarks reinforced the SEC's continued commitment and concern about the financial exploitation of seniors.
United States
1 Aug 2018
4
A Sample Form CRS For Structured Products
In April 2018, the SEC released its proposed rules on Form CRS Relationship Summary ("Form CRS"), which would assist retail investors in choosing investment firms, professionals and account types...
United States
1 Aug 2018
5
Chair Clayton's Congressional Testimony
In his most recent testimony before Congress, SEC Chair Jay Clayton focused on Main Street investors. Addressing standards of conduct for broker-dealers and investment advisers, Chair Clayton noted that the rulemaking package issued in April this year would enhance retail investor protection and understanding while preserving retail investor access.
United States
25 Jul 2018
6
Fifth Circuit Vacates Fiduciary Rule
On June 21, 2018, in a 2-1 decision, the U.S. Court of Appeals for the Fifth Circuit issued its mandate formally vacating the U.S. Department of Labor's ("DOL") conflict of interest rule and its related exemptions (the "Fiduciary Rule").
United States
25 Jul 2018
7
REVERSEinquiries: Volume 1, Issue 4
REVERSEinquiries is Mayer Brown's new structured and market-linked productsIn this issue, we discuss:
United States
25 Jul 2018
8
The ARRC Releases its Guiding Principles for New LIBOR Fallbacks
On July 9, 2018, the Alternative Reference Rates Committee (the "ARRC") announced voluntary guiding principles for market participants to use in developing new LIBOR fallbacks for cash products, which include USD LIBOR floating rate notes.
United States
25 Jul 2018
9
Broker-Dealer Sanctioned for Encouraging Early Resales of Structured Notes
On June 25, 2018, the Securities and Exchange Commission, or the SEC, announced that a broker-dealer settled charges relating to recommended resales of structured notes and certificates of deposit to retail investors between January 2009 and June 2013.
United States
25 Jul 2018
10
Commissioner Stein on Complex Products
On June 7, 2018, SEC Commissioner Kara Stein spoke at a conference and once again focused on complex products.
United States
25 Jul 2018
11
Revisiting The Business Judgment Rule?
Traditionally, courts will defer to the business decisions of a company with independent directors that act in good faith having undertaken reasonable care.
United States
18 Jun 2018
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