James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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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

SEC Approves MSRB Best Execution Rule

On December 5, the Securities and Exchange Commission approved Municipal Securities Rulemaking Board (MSRB) Rule G-18 (Best Execution Rule) that will require municipal securities dealers to seek the most favorable terms...more

12/16/2014 - Best Execution Rule MSRB Municipal Securities Market SEC Securities Securities Dealers

Corporate and Financial Weekly Digest - Volume IX, Issue 48

In this issue: - Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements - SEC Approves MSRB Best Execution Rule - SEC Sanctions Operator of Unregistered Virtual...more

12/15/2014 - Banks Basel Committee Bitcoins Currency Exchange Cybersecurity ESMA EU FCA Insider Trading Investors MiFID MSRB Proxy Season Proxy Statements SEC Shareholder Proposals Shareholders Virtual Currency

FINRA Issues Notice on TRACE Trade Reporting Obligations

On November 21, the Financial Industry Regulatory Authority released Regulatory Notice 14-53 to remind FINRA member firms of their Trade Reporting and Compliance Engine (TRACE) trade reporting obligations for transactions in...more

12/10/2014 - Alternative Trading Systems FINRA Reporting Requirements Securities TRACE

Corporate and Financial Weekly Digest - Volume IX, Issue 47

In this issue: - SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking - FINRA Issues Notice on TRACE Trade Reporting Obligations - NFA Issues Guidance on Exempt and Excluded...more

12/8/2014 - AIFM Bank Secrecy Act Banks Bitcoins BitLicense C-Suite Executives CPOs CTA Dodd-Frank Enforcement Actions EU EU Data Protection Laws False Statements FFIEC FINRA Investment Funds JOBS Act NFA OCC Proposed Amendments Regulatory Standards Rulemaking Process SEC TRACE Whistleblower Awards

FINRA and the MSRB Release Companion Proposals That Would Require Additional Disclosures for Transactions in Fixed Income...

On November 17, the Financial Industry Regulatory Authority, Inc. and the Municipal Securities Rulemaking Board (MSRB) released companion proposals that would require disclosure of pricing reference information in customer...more

11/25/2014 - Disclosure Requirements FINRA Fixed Income Investments MSRB

SEC Adopts Regulation Systems Compliance and Integrity Rules

On November 19, the Securities and Exchange Commission adopted new Regulation Systems Compliance and Integrity (Regulation SCI), a set of rules designed to strengthen the technology infrastructure of the US securities markets...more

11/25/2014 - Covered Entities Financial Markets Regulation SCI SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 46

In this issue: - US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule - Register for Our 2015 Proxy Season Update Webinar - SEC...more

11/24/2014 - Amnesty International Appeals CFTC Conflict Mineral Rules Crowdfunding Disclosure Requirements EU European Commission False Claims Act FinCEN FINRA Fixed Income Investments Forward Contract Exclusion Forward Contracts MSRB Proxy Season Proxy Voting Guidelines SEC Swap Dealers

CBOE Makes Enhancements to Its Market-Maker Trade Notification System

The Chicago Board Options Exchange (CBOE) has issued Regulatory Circular RG14-155 regarding enhancements to its Market-Maker Trade Notification system. When a floor broker uses the CBOE’s Public Automated Routing system to...more

11/18/2014 - CBOE Market Making

Corporate and Financial Weekly Digest - Volume IX, Issue 45

In this issue: - Proxy Advisory Firms Release Policy Updates for 2015 - CBOE Makes Enhancements to Its Market-Maker Trade Notification System - OTC Derivatives Regulators Group Issues Report to G20...more

11/17/2014 - AIFM AIFMD CBOE CFTC Derivatives ESMA Financial Conduct Authority G20 Glass Lewis ISS Market Making OTC Prepaid Payment Products Proxy Season Proxy Voting Guidelines

FINRA's New Consolidated Supervision Rules: A Roadmap to Compliance

The Financial Industry Regulatory Authority (FINRA) has adopted comprehensive new consolidated rules regarding supervision of member firms' activities, which become effective on December 1. While the new FINRA rules...more

11/12/2014 - Compliance FINRA London Stock Exchange NASD NYSE

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