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Searching Content indexed under Financial Services by Lailey Rezai ordered by Published Date Descending.
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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
2
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
3
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
4
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
5
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
6
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
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