James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically

On December 21, 2015, the Securities and Exchange Commission’s Division of Trading and Markets granted no-action relief that will allow broker-dealers and over-the-counter (OTC) derivatives dealers to submit their annual and...more

2/2/2016 - Broker-Dealer EDGAR Electronic Filing No-Action Relief SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 4

SEC/CORPORATE - Crowdfunding Portals Can Now Register With the SEC - As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange...more

2/1/2016 - Crowdfunding Cyber Attacks Electronic Filing Germany Hedge Funds Memorandum of Understanding Regulation C SEFs Senior Managers Insurers Regime (SMIR) Supervision UK

FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions

The Financial Industry Regulatory Authority released Regulatory Notice 16-03, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 0150 (Application of Rules to Exempted Securities...more

1/26/2016 - FINRA Issuer Exemption SEC U.S. Treasury

Corporate and Financial Weekly Digest - Volume XI, Issue 3

SEC/CORPORATE - SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors - On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more

1/25/2016 - EU Fixing America’s Surface Transportation Act (FAST Act) Hart-Scott-Rodino Act Management Fees No-Action Relief REMIT Swaps

Research Note: Equity Market Volatility on August 24, 2015

On December 29, 2015, the staff of the Securities and Exchange Commission’s Office of Analytics and Research Division of Trading and Markets published a research note (Research Note) on the unusual price volatility that the...more

1/12/2016 - Broker-Dealer Equity Markets Exchange-Traded Products Futures SEC

FINRA’s 2016 Regulatory and Examination Priorities

On January 5, the Financial Industry Regulatory Authority released its Regulatory Examination Priorities Letter, which identified its three main areas of focus for the year: (1) Culture, Conflicts of Interest and Ethics; (2)...more

1/12/2016 - Conflicts of Interest Examination Priorities FINRA Internal Controls Risk Management Supervision

Revised Pay-to-Play Rules

The Securities and Exchange Commission is seeking comments on a revised proposal recently filed by the Financial Industry Regulatory Authority to establish “pay-to-play” and related rules regulating the activities of FINRA...more

1/12/2016 - Broker-Dealer Comment Period Pay-To-Play Proposed Regulation SEC

Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules

The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority proposal to create a set of rules for FINRA member firms that meet the definition of “capital acquisition broker” (CAB)...more

1/12/2016 - Comment Period FINRA M&A Brokers Proposed Regulation SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 1

SEC/CORPORATE - PCAOB Adopts New Rules Requiring Disclosure of Participants in an Audit - On December 15, 2015, the Public Company Accounting Oversight Board (PCAOB) adopted new rules and related amendments to...more

1/11/2016 - Banking Sector C&DIs Examination Priorities Fixing America’s Surface Transportation Act (FAST Act) M&A Brokers Pay-To-Play PCAOB Regulation Technical Standards (RTS) SEC

Foreign Listed Stock Index Futures and Options Approval Chart January 2016

Please find below the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 2016. All prior versions are superseded and should be discarded. Please note the following developments since...more

1/11/2016 - CFTC Foreign Investment Foreign Private Issuers

FINRA Issues Notice on Member Website References and Hyperlinks to BrokerCheck

The Financial Industry Regulatory Authority released Regulatory Notice 15-50, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 2210 (Communications with the Public). The amendments...more

12/15/2015 - BrokerCheck Disclosure Requirements FINRA Retail Investors SEC

Corporate and Financial Weekly Digest - Volume X, Issue 47

SEC/CORPORATE - FAST Act Legislation and Impact on Securities Law - On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more

12/14/2015 - AIFMD CFTC Cybersecurity Disclosure Requirements Emerging Growth Companies ESMA EU FINRA Fixing America’s Surface Transportation Act (FAST Act) SEC

SEC Approves Changes To Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck

Effective as of December 12, the Securities and Exchange Commission has approved a change to Financial Industry Regulatory Authority Rule 8312 (FINRA BrokerCheck Disclosure) to reduce the waiting period from 15 to three...more

12/8/2015 - BrokerCheck FINRA SEC Waiting Periods

FINRA Issues Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets

In light of the increasing use of automated markets for equity securities and standardized options, and recent advances in trading technology and communications in the fixed income markets, the Financial Industry Regulatory...more

12/8/2015 - FINRA Fixed Income Investments New Guidance Stock Options

Corporate and Financial Weekly Digest - Volume X, Issue 46

SEC/CORPORATE - Proxy Advisory Firms Release Policy Updates for 2016 - Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2016 proxy voting...more

12/7/2015 - Banking Sector Broker-Dealer CFTC EU FINRA MiFID II OCC Overboarding Proxy Voting Guidelines SEC Shareholder Proposals Waiting Periods

SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems

On November 18, the Securities and Exchange Commission proposed a rule to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed on a national securities...more

11/24/2015 - Alternative Trading Systems Regulatory Oversight SEC Trading Platforms Transparency Directive

Corporate and Financial Weekly Digest - Volume X, Issue 45

SEC/CORPORATE SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference - On November 16, Securities and Exchange Commissioner Michael Piwowar addressed the 34th Annual Current Financial Reporting...more

11/23/2015 - Alternative Trading Systems Anti-Money Laundering ESMA Financial Sector IFRS SEC

FINRA Issues Investor Alert Regarding IRS Phone Scam

The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly coming from the Internal Revenue Service. Since 2013, more than 700,000 investors have...more

11/17/2015 - FINRA Fraud Alerts IRS Tax Scams

Corporate and Financial Weekly Digest - Volume X, Issue 44

BROKER-DEALER - FINRA Issues Investor Alert Regarding IRS Phone Scam - The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more

11/16/2015 - CPOs EU FFIEC FINRA Form PQR Internal Investigations Major Swap Participants MiFID II Risk Management Tax Scams UK Volcker Rule

FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities

The Financial Industry Regulatory Authority issued a regulatory notice requesting comment to revisions on a proposed rule that would enhance information disclosure standards for retail-size customer trades of corporate and...more

10/20/2015 - Bonds Corporate Bonds Debt Securities Disclosure Requirements FINRA Government Bonds Proposed Regulation

Corporate and Financial Weekly Digest - Volume X, Issue 40

BROKER-DEALER - FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities - The Financial Industry Regulatory Authority issued a regulatory notice...more

10/19/2015 - AIFM AIFMD Broker-Dealer CFTC Commodities Exchange Act Debt Securities Disclosure Requirements Dividends EU European Commission Financial Regulatory Reform FINRA Investment Funds NFA No-Action Relief OCC Proposed Regulation Swaps Withholding Tax

SEC Proposes Security-based Swap Data Repositories Make Data Available to Regulators

The SEC is proposing amendments to rules related to regulator access to security-based swap data held by security-based swap data repositories. If adopted, the amendments would require security-based swap data repositories...more

9/15/2015 - Comment Period Data Privacy Data-Sharing Proposed Amendments SEC Security-Based Swaps

Corporate and Financial Weekly Digest - Volume X, Issue 35

SEC/CORPORATE - US District Court Orders SEC To Revise Resource Extraction Issuer Rule - On September 2, the US District Court for the District of Massachusetts ordered the SEC to file with the District Court in 30...more

9/14/2015 - Banking Sector Broker-Dealer C-Suite Executives CFTC Commodities Consultation Corporate Executive Boards Failure To Disclose FFIEC Financial Conduct Authority (FCA) Financial Institutions Investment Funds Major Swap Participants NFA NYSE Oxfam America Resource Extraction Rulemaking Process SEC Swaps Trade Market Abuse UCITS UK

Anti-Money Laundering Program and Suspicious Activity Report Filing for Investment Adviser

The Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking that would require registered investment advisers to establish anti-money laundering programs and file suspicious activity reports with...more

9/2/2015 - Anti-Money Laundering Bank Secrecy Act BSA/AML Comment Period Financial Institutions FinCEN Investment Adviser NPRM SAR

SEC Issues Risk Alert on Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products

On August 24, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations’ National Examination Program staff (Staff) released a Risk Alert summarizing findings from an examination of 10...more

9/1/2015 - Broker-Dealer Industry Examinations Risk Alert SEC Supervision

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