James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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SEC Staff Clarifies Regulation SHO FAQ 2.5(B) on Order Marking

As reported in the March 20 edition of the Corporate & Financial Weekly Digest, the staff of the Securities and Exchange Commission’s Division of Trading and Markets (Staff) issued new frequently asked questions (FAQs)...more

4/1/2015 - New Guidance Regulation SHO SEC

SEC Proposes to Amend Rule 15b9-1

The Securities and Exchange Commission is proposing to amend Rule 15b9-1 under the Securities Exchange Act of 1934, as amended, to require broker-dealers that engage in off-exchange proprietary trading to become members of a...more

4/1/2015 - Broker-Dealer FINRA High Frequency Trading Proposed Amendments Registration Requirement Rule 15B9-1 SEC Securities Exchange Act

FINRA Issues Guidance on Effective Supervision for Firms Engaging in Algorithmic Trading Strategies

The Financial Industry Regulatory Authority released Regulatory Notice 15-09 to provide guidance to member firms and market participants on effective supervision and control practices with respect to algorithmic trading...more

3/31/2015 - Algorithmic Trading FINRA Market Participants SEC Supervision

FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions

The Financial Industry Regulatory Authority released Regulatory Notice 15-07 to alert member firms of the new consolidated rules regarding payments to unregistered persons and membership. The notice also alerts member firms...more

3/31/2015 - FINRA Members New Regulations

Corporate & Financial Weekly Digest - Volume X, Issue 12

In this issue: - SEC Adopts Final Rules for Regulation A+ Offerings - FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions - FINRA Issues...more

3/30/2015 - AIFMD Algorithmic Trading CFTC Final Rules FINRA New Guidance Pharmaceutical Manufacturers Regulation A Regulation SHO SEC Securities Fraud Supervision

FINRA Seeks Comment on Proposal Requiring Registration of Associated Persons Who Develop Algorithmic Trading Strategies

Introduction - As part of its ongoing market structure initiatives related to, among other things, automated trading activities, the Financial Industry Regulatory Authority (FINRA) has issued a proposal that would...more

3/27/2015 - Algorithmic Trading Associated Persons Comment Period FINRA Registration Requirement

SEC Staff Issues New FAQs on Regulation SHO

On March 17, the staff of the Securities and Exchange Commission’s Division of Trading and Markets (Staff) issued three new frequently asked questions (FAQs) relating to Regulation SHO. The current guidance under FAQ 2.5...more

3/25/2015 - Corporate Issuers Regulation SHO SEC

SEC Approves ISE Rules on Information Barriers Between Customer and Proprietary Business

On March 17, the Securities and Exchange Commission approved amendments to the information barrier rule of the International Securities Exchange, LLC (ISE). As reported in the October 17, 2014, edition of the Corporate &...more

3/25/2015 - Information Sharing SEC

FINRA Issues Notice on Background Checks for Registration Applicants

The Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 15-05 to remind member firms of the new consolidated rules on mandatory background checks for individual registration. As first reported in the...more

3/24/2015 - Background Checks FINRA Registration Requirement Regulatory Standards

Corporate & Financial Weekly Digest - Volume X, Issue 11

In This Issue: - Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions - SEC Charges Insiders for Failure to Update Schedule 13D Disclosures - CBOE Proposes Amendments to...more

3/23/2015 - AML/CFT Bylaws CFTC Criminal Background Checks Cybersecurity Delaware General Corporation Law Derivatives Disclosure Requirements Exclusive Forum FATCA Fee-Shifting FinCEN Hong Kong Insider Trading Regulation SHO SEC

CBOE Proposes to Offer Extended Trading Hours for SPX and VIX Options

The Chicago Board Options Exchange (CBOE) has proposed to offer Extended Trading Hours (ETH) on certain index options contracts....more

3/5/2015 - CBOE Stock Options

Corporate and Financial Weekly Digest - Volume X, Issue 8

In this issue: - CBOE Proposes to Offer Extended Trading Hours for SPX and VIX Options - CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs - CFTC Reopens Comment Period for...more

3/2/2015 - Administrative Hearings CBOE CFTC ESMA Joint Venture Memorandum of Understanding SEC

SEC and FINRA Issue Cybersecurity Publications

On February 3, the Securities and Exchange Commission and Financial Industry Regulatory Authority issued separate publications on cybersecurity risk. The SEC’s risk alert provides summary observations from the SEC’s Office of...more

2/12/2015 - Broker-Dealer Cybersecurity FINRA Industry Examinations Investment Adviser Risk Alert SEC

CBOE Proposes to Amend Order Ticket Requirements for Certain Orders

On January 23, the Chicago Board Options Exchange (CBOE) proposed rule changes that would amend order ticket requirements for certain orders under CBOE Rules 6.53 and 24.20. Specifically, the proposed amendment to CBOE Rule...more

2/11/2015 - CBOE Order Ticket Proposed Amendments SEC

Corporate and Financial Weekly Digest - Volume X, Issue 5

In this issue: - SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition - Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models - SEC Issues New...more

2/9/2015 - Accredited Investors CBOE Cybersecurity Emerging Growth Companies Enforcement Actions Equity Plans ESMA Exchange Offer Federal Reserve FINRA Glass Lewis Pay-for-Performance Ponzi Scheme Private Student Loans Proposed Amendments SEC Small Business Tender Offers

SEC Comments on FINRA’s Proposed Rule Amendment to Increase Pricing Disclosure

On January 20, the Securities and Exchange Commission commented on the Financial Industry Regulatory Authority’s proposed amendment to FINRA Rule 2232 regarding transparency on prices in certain retail transactions in...more

1/27/2015 - FINRA Fixed Income Investments Proposed Amendments SEC

Corporate and Financial Weekly Digest - Volume X, Issue 3

In this issue: - SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals - SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure - CFTC Grants...more

1/26/2015 - Broker-Dealer Canada CFTC Class Action Conflicts of Interest ESMA FINRA Forex Hart-Scott-Rodino Act Hong Kong Layering Mary Jo White Mexico Mining Mortgages NFA OCC Proposed Regulation Proxy Access Rule PSLRA Scienter SEC Securities Shareholder Proposals Threshhold Requirements Whole Foods

SEC 2015 Examination Priorities Focus on Liquid Alternatives and Fixed-Income Funds

On January 13, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2015 examination priorities for investment companies, investment advisers, broker-dealers and...more

1/20/2015 - Broker-Dealer Fixed Income Investments Investment Adviser LiquidAlts OCIE Qualified Retirement Plans SEC SEC Examination Priorities Transfer Agents

Corporate and Financial Weekly Digest - Volume X, Issue 2

In this issue: - New Law Aligns Clearing and Margin Exceptions for Swaps - CFTC Staff Extends No-Action Relief to Certain Reporting Counterparties Masking Identifying Information Pursuant to Non-US Law -...more

1/19/2015 - Appraisal CFTC Compliance EMIR Enforcement Actions ESMA European Commission Fixed Income Investments LiquidAlts MiFID No-Action Relief SEC SEC Examination Priorities Securities Securities Fraud Shareholders Swap Clearing Swaps Terrorism Insurance TRIA

SEC Approves Amendments to NASD Rule 2340 and FINRA Rule 2310 to Address Values of Direct Participation Program and Unlisted Real...

The Financial Industry Regulatory Authority has issued Regulatory Notice 15-02 regarding the Securities and Exchange Commission’s approved amendments to National Association of Securities Dealers (NASD) Rule 2340 (and...more

1/13/2015 - Amended Regulation FINRA Nasdaq REITS SEC Stocks Valuation

SEC Approves FINRA Rule Proposal Regarding Responsibilities of FINRA Member Firms to Investigate Applicants for Registration

The Securities and Exchange Commission has granted accelerated approval of a Financial Industry Regulatory Authority proposal to adopt FINRA Rule 3110(e) concerning the responsibility of FINRA member firms to investigate...more

1/13/2015 - Background Checks FINRA Registration SEC

FINRA Issues Annual Regulatory and Examination Priorities Letter for 2015

One January 6, the Financial Industry Regulatory Authority issued its annual letter to FINRA member firms outlining FINRA’s regulatory and examination priorities for the coming year....more

1/13/2015 - Anti-Money Laundering Broker-Dealer Cybersecurity Examination Procedures FINRA Private Placements Regulatory Standards

Corporate and Financial Weekly Digest - Volume X, Issue 1

In this issue: - SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds - ISS Releases FAQs on Equity Plan Scorecard and Independent Chair Policy - FINRA Issues Annual Regulatory and...more

1/12/2015 - CFTC CME Equity Plans FCMs FINRA Independent Boards ISS JOBS Act NASD No-Action Relief REITS SEC Strategic Enforcement Plan

FINRA Proposes Rule Change to Codify Reporting Requirement for Accounts Acting in Concert

On December 11, the Financial Industry Regulatory Authority proposed a rule change to amend FINRA Rule 2360(b)(5) to reflect the current requirement that reporting rules apply to all accounts acting in concert. FINRA Rule...more

12/23/2014 - FINRA Proposed Amendments Reporting Requirements Stock Options

FINRA Proposes Rule Change to Identify Transactions with Non-Member Affiliates

The Financial Industry Regulatory Authority proposed a rule change to amend FINRA Rule 6700 Series to require member firms to identify transactions with non-member affiliates in Trade Reporting and Compliance Engine reports...more

12/23/2014 - Affiliates FINRA Proposed Regulation Reporting Requirements

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