James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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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

FINRA Proposes to Revise Implementation Date for Supplemental Inventory Schedule

On October 10, the Financial Industry Regulatory Authority, Inc. proposed a rule change to revise the implementation date for the Supplemental Inventory Schedule (SIS) approved in SR-FINRA-2014-025. The due date for the first...more

10/22/2014 - Compliance Disclosure FINRA

ISE Proposes to Amend Rules Regarding Information Barriers Between Customer and Proprietary Businesses

On September 30, the International Securities Exchange, LLC (ISE) proposed amendments to ISE Rules 810 (Limitations on Dealings) and 717 (Limitations on Orders) concerning information barriers between a member firm’s...more

10/22/2014 - ISE Market Making Proposed Amendments

Corporate and Financial Weekly Digest - Volume IX, Issue 41

In this issue: - ISS Releases 2015 Draft Voting Policy Changes for Comment - SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition - FINRA Proposes to...more

10/20/2014 - Accredited Investors CFTC Disclosure Requirements EU European Commission FINRA ISS Prudential Regulation Authority Rulemaking Process SEC

The SEC's MCDC Initiative: Where To Go From Here

Issuers, underwriters and advisors in the municipal bond marketplace are facing unprecedented challenges from federal regulators in connection with both the issuance of bonds and ongoing post-issuance compliance. These...more

10/16/2014 - Audits Bonds Compliance Enforcement IRS MCDC Municipal Bonds SEC Underwriting

FINRA Revises Proposal to Adopt Consolidated FINRA Rule 2231

On September 16, the Financial Industry Regulatory Authority, Inc. requested comments on a revised proposal to adopt consolidated FINRA Rule 2231 regarding Customer Account Statements. ...more

9/23/2014 - FINRA Third-Party Risk

Corporate and Financial Weekly Digest - Volume IX, Issue 37

In this issue: - Council of Institutional Investors Issues Report on Board Evaluation Disclosure - FINRA Revises Proposal to Adopt Consolidated FINRA Rule 2231 - IRS Considers Whether Management Fees of...more

9/22/2014 - Broker-Dealer CFTC Corporate Governance Dodd-Frank EU FINRA Insider Trading Institutional Investment IRS Limited Liability Companies Margin Requirements Swaps

CBOE and C2 in Discussions With FINRA for Regulatory Services

CBOE Holdings Inc., the parent company of the Chicago Board Options Exchange (CBOE) and the C2 Options Exchange (C2), has issued a news release announcing that CBOE and C2 are in discussions with the Financial Industry...more

9/16/2014 - CBOE FINRA

FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms

The Board of Governors (the Board) of the Financial Industry Regulatory Authority is scheduled to meet on September 19 to consider rule proposals requiring heightened oversight of computerized trading strategies and greater...more

9/16/2014 - Algorithmic Trading Compliance Disclosure Requirements FINRA Transparency

Corporate and Financial Weekly Digest - Volume IX, Issue 36

In this issue: - Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld - FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms - CBOE and C2 in...more

9/15/2014 - AIFM AIFMD Banks Bitcoins CBOE CFPB CFTC Commodity Pool Compliance CPO Cross-Border Exclusive Jurisdiction False Claims Act FINRA Forum ISDA JOBS Act Jurisdiction OTC Regulation M Regulation Z SEC Security-Based Swaps Swap Dealers Swaps UK

Amendments to FINRA Rule 2210 Regarding Communications With the Public

Financial Industry Regulatory Authority, Inc. Rule 2210 requires member firms to file certain communications with FINRA’s Advertising Regulation Department, including retail communications. The Rule 2210 filing requirements...more

8/5/2014 - Advertising Amended Regulation Filing Requirements FINRA Public Communications Retailers Rule 2210

Corporate and Financial Weekly Digest - Volume IX, Issue 30

In this issue: - Amendments to FINRA Rule 2210 Regarding Communications With the Public - Smith & Wesson Pays $2 Million to Resolve SEC Charges - Former Chief Operating Officer Settles SEC Fraud...more

8/4/2014 - Advertising Banking Sector Banks Broker-Dealer Corporate Officers Electronic Communications FINRA Misappropriation Retailers Rule 2210 SEC Securities Securities Exchange Act Securities Fraud Settlement Smith & Wesson

SEC Approves FINRA Rule Limiting Expungement

On July 22, the Securities and Exchange Commission authorized the Financial Industry Regulatory Authority, Inc. to implement FINRA Rule 2081 prohibiting brokers from conditioning settlement of customer complaints on (or...more

7/29/2014 - Expungement Financial Regulatory Reform FINRA SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 29

In this issue: - SEC Approves FINRA Rule Limiting Expungement - CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements - CFTC Releases Rule Enforcement Review of ICE...more

7/28/2014 - CFTC FINRA Futures Insider Trading No-Action Relief Proxy Voting Guidelines Reporting Requirements Rule 10b-5 SEC

FINRA to Conduct Targeted Examinations Regarding Order Routing and Execution Quality of Customer Orders in Exchange-Listed Stocks

The Financial Industry Regulatory Authority, Inc.’s Market Regulation Department has issued a targeted examination letter dated July 2014 to certain FINRA member firms notifying each firm that FINRA’s Trading Examinations...more

7/15/2014 - Examination Letter FINRA Order Routing Securities Stock Trades

Corporate and Financial Weekly Digest - Volume IX, Issue 27

In this issue: - SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation - SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor...more

7/14/2014 - Accredited Investors Audits C&DIs Exchange-Traded Products FINRA General Solicitation Hedge Funds Insider Trading Investment Adviser Proxy Advisors Proxy Voting Guidelines SEC Verification Requirements

FINRA Proposes to Amend Rule 2360

The Financial Industry Regulatory Authority, Inc. is proposing to amend FINRA Rule 2360(b)(23) to harmonize the expiration date of standardized equity options with the rules of The Options Clearing Corporation (OCC) and the...more

6/24/2014 - FINRA New Amendments OCC

Corporate and Financial Weekly Digest - Volume IX, Issue 25

In this issue: - Delaware Court of Chancery Rules That a Major Debt Holder and 48 Percent Stockholder Is a Controlling Stockholder and Owes Fiduciary Duties to Minority Stockholders - Delaware Court of Chancery...more

6/23/2014 - Compliance Controlling Stockholders Cross-Border Debt Debtors Disclosure Requirements FCMs Fiduciary Duty FINRA Fraud Investment Adviser Minority Shareholders Real Estate Market SEC Shareholder Litigation Shareholders Swaps

Commissioner Kara M. Stein Calls for More Stringent Net Capital Requirements for Broker Dealers

On June 12, Commissioner Kara M. Stein called on the Securities and Exchange Commission to make its net capital requirements for broker dealers more stringent. Commissioner Stein warned that current net capital levels may not...more

6/17/2014 - Broker-Dealer Net Capital Rule SEC SEC Commissioner

Corporate and Financial Weekly Digest - Volume IX, Issue 24

In this issue: - Commissioner Kara M. Stein Calls for More Stringent Net Capital Requirements for Broker Dealers - US Marshals Service Announces Auction of Silk Road Bitcoins - Investment Adviser Accused...more

6/16/2014 - Akamai Technologies Bitcoins Broker-Dealer Digital Assets Enforcement Enforcement Actions Fraud Investment Adviser SEC Section 10(b) Section 10(b)-5 Securities Exchange Act Securities Fraud Virtual Currency

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