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Searching Content indexed under Financial Services by Gonzalo Go ordered by Published Date Descending.
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1
FINRA Rule 5110 – An Amendment To The Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. ("FINRA") has again released proposed revisions to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
2 Sep 2019
2
FINRA Seeks Comment On Senior Protection Rules
On August 9, 2019, FINRA issued Regulatory Notice 19-27 requesting comments on its rules and administrative processes that most directly apply to financial exploitation of senior investors.
United States
2 Sep 2019
3
Volcker Rule Revisions Adopted By Agencies
The Federal Deposit Insurance Corporation ("FDIC"), Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System ("Federal Reserve"),
United States
2 Sep 2019
4
FIMSAC Approves Recommendation For Investor Education Regarding Retail Notes
In a meeting held on July 29, 2019, the SEC's Fixed Income Market Structure Advisory Committee ("FIMSAC") unanimously approved its Corporate Bond Transparency Subcommittee's
United States
2 Sep 2019
5
Refresher: Using Free Writing Prospectuses For Structured Notes Offerings
With the SEC's Securities Offering Reforms in December 2005 came a new tool for offering securities: the free writing prospectus.
United States
13 Jun 2019
6
Revised Notice Of Proposed Rule Change To FINRA Rule 5110
FINRA recently refiled its proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
11 Jun 2019
7
House Passes Resolutions On Financial Literacy And Support For Elderly
On April 30, 2019, the U.S. House of Representatives passed H. R. 328, Supporting the Protection of Elders Through Financial Literacy and H.R. 1876, the Senior Security Act of 2019.
United States
11 Jun 2019
8
Unsuitable Sales Of Leveraged ETFs Draw FINRA's Ire; Text Messaging Violates Communications Rules
The Financial Industry Regulatory Authority, Inc. has been quite clear on its views of "non-traditional exchange traded products," such as leveraged inverse exchange-traded notes and exchange-traded funds.
United States
10 Jun 2019
9
REVERSEinquiries Volume 2, Issue 2
On January 22, 2019, FINRA issued its 2019 Risk Monitoring and Examination Priorities Letter1 (the "Letter") ...
United States
28 Feb 2019
10
Refresher: Structured Products: A Framework For Post-Approval Review
Many issuers and their affiliated broker-dealers have an elaborate new product approval process, but may focus less time on the post-approval review.
United States
28 Jan 2019
11
New QFC Stay Rules Affect Dealer Agreements And Distribution Agreements
Starting in 2019, U.S. globally systemically important banking organizations ("GSIBs") and their subsidiaries worldwide, as well as the U.S. subsidiaries, branches and agencies of foreign GSIBs
United States
25 Jan 2019
12
United Kingdom Financial Services Legislation In The Aftermath Of A No-Deal Brexit—What Potential Changes To UK Securities Laws And Regulations Should Issuers Of Securities Be Aware Of?
A significant portion of the law and regulation applicable in the United Kingdom (the "UK") pre-Brexit is derived from the European Union ("EU").
European Union
25 Jan 2019
13
FDIC Announces Review Of Brokered Deposits And Requests Comments
On December 18, 2018, the Federal Deposit Insurance Corporation (the "FDIC") published an advance notice of proposed rule-making and request for comments (the "Notice") in connection
United States
25 Jan 2019
14
SEC Investor Advocate Report On Activities For Fiscal Year 2018: Survey Results Regarding Investment Advice
The Office of the Investor Advocate released its "Report on Activities for the Fiscal Year 2018" (the "Report").2 During the 2018 fiscal year, the Investor Advocate focused significant attention
United States
25 Jan 2019
15
How Does An Index Split?
We are all familiar with forward and reverse stock splits of common stock and shares of exchange-traded funds, and the related anti-dilution provisions contained in structured notes linked to those underliers.
United States
24 Jan 2019
16
Responses To ISDA's Proposals For IBOR Replacements: A Step Toward Certainty For LIBOR Notes
In July 2018, the International Swaps and Derivatives Association, Inc. published a consultation on options for calculating adjusted risk-free rates and spread adjustments to be used as fallbacks in derivatives contracts ...
United States
24 Jan 2019
17
REVERSEinquiries, Volume 1, Issue 8
REVERSEinquiries is Mayer Brown's structured and market-linked products-focused newsletter.
United States
13 Dec 2018
18
Product Intervention – A New Tool In EU Securities Regulation
"Product intervention" means that regulators have the power to ban or restrict certain types of financial instruments or activities, for example, by imposing restrictions on the type of investors to which certain financial instruments ...
United States
1 Nov 2018
19
ISDA Benchmark Supplement
Introduction to the ISDA Benchmarks Supplement.
European Union
31 Oct 2018
20
FINRA Releases Report On The Rise Of RegTech
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
United States
29 Oct 2018
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