James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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FINRA Proposes Changes to the Reporting Requirements for TRACE-Eligible Securities

On July 2, the Financial Industry Regulatory Authority proposed to amend FINRA Rule 6730 (Transaction Reporting) to require member firms to report transactions in eligible securities that are subject to dissemination to the...more

7/15/2015 - Broker-Dealer Electronic Trading FINRA Investment Adviser Policies and Procedures Proposed Amendments Reporting Requirements TRACE

FINRA Requests Comment on Revised Discretionary Accounts and Transactions Rule

The Financial Industry Regulatory Authority is requesting comment on a revised proposal to consolidate and clarify certain National Association of Securities Dealers (NASD) and New York Stock Exchange rules into new FINRA...more

7/15/2015 - Broker-Dealer Business Associates Comment Period FINRA NASD NYSE Proposed Amendments

Corporate & Financial Weekly Digest - Volume X, Issue 26

In this issue: - SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures - SEC Proposes Rule Requiring Executive Compensation Clawbacks - FINRA Requests Comment on Revised Discretionary...more

7/13/2015 - Audit Committee CFTC Clawbacks Cross-Border Enforcement Actions ESMA FINRA Futures Greece Hong Kong Margin Requirements MiFID II SEC Swaps

SEC Requests Public Comment on ETPs

On June 12, the Securities and Exchange Commission announced that it is seeking public comment in connection with its review of the listing and trading of exchange-traded products (ETPs) on national securities exchanges and...more

6/23/2015 - Broker-Dealer Exchange-Traded Products Public Comment SEC Securities Exchange Act Stock Exchange

Corporate & Financial Weekly Digest - Volume X, Issue 24

In This Issue: - SEC Denies Motion to Stay Regulation A+ - SEC Requests Public Comment on ETPs - CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs - Eleventh Circuit Upholds...more

6/22/2015 - Alternative Investment Funds AMF Banking Sector Broker-Dealer Brokers CFTC Commodities Corporate Governance Exchange-Traded Products FDIC Food Commodities Insider Trading Mortgage Lenders Mortgages OCC Regulation A SEC Wire Fraud

FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...

The Financial Industry Regulatory Authority recently issued Regulatory Notice 15-19 to solicit comments on a proposed rule that would require member firms that hire or associate with a registered representative (recruiting...more

6/17/2015 - Broker-Dealer Financial Institutions Financial Regulatory Reform FINRA

FINRA Proposes Revised BrokerCheck Hyperlink Rule

On May 27, the Financial Industry Regulatory Authority filed a revised rule proposal with the Securities and Exchange Commission to amend FINRA Rule 2210. Specifically, the revised proposal would require each member firm’s...more

6/9/2015 - Broker-Dealer BrokerCheck Brokers FINRA Hyperlink Proposed Amendments Proposed Regulation SEC

Corporate & Financial Weekly Digest - Volume X, Issue 22

In This Issue: - SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules - States Challenge Blue Sky Preemption Under Regulation A+ - FINRA Proposes Revised BrokerCheck Hyperlink Rule -...more

6/8/2015 - Blue Sky Laws BrokerCheck Capital Markets CFTC Clawbacks Disclosure Requirements EU European Commission Executive Compensation Financial Conduct Authority FINRA Hedge Funds Investment Adviser National Futures Association NFA Preemption Public Comment Regulation A SEC Total Shareholder Return (TSR)

FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public

The Financial Industry Regulatory Authority issued Regulatory Notice 15-16 to solicit comments on proposed amendments to FINRA Rules governing communications with the public. FINRA is proposing to amend FINRA Rule 2210 so...more

5/28/2015 - Bonds Financial Regulatory Reform FINRA Mutual Funds Proposed Amendments Public Communications Rating Agencies Rule 2210

Corporate & Financial Weekly Digest - Volume X, Issue 20

In this issue: - Section 16(b) Decision Provides Important Guidance - FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public - Form BE-10 Filing Deadline...more

5/26/2015 - 16(b) Attorney's Fees Banking Sector CFTC FINRA Insider Trading OCC

FINRA’s NAC Strengthens Sanction Guidelines Related to Fraud and Suitability

On May 12, the Financial Industry Regulatory Authority announced that the National Adjudicatory Council (NAC) revised its Sanction Guidelines to call for tougher sanctions against those who commit fraud or make unsuitable...more

5/19/2015 - FINRA Fraud Misrepresentation Omissions Sanctions Suitability Requirements

SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting

On April 17, the Securities and Exchange Commission announced that its Equity Market Structure Advisory Committee (Committee) will hold its first meeting on May 13. The Committee, which was created earlier this year to...more

4/28/2015 - Equity Markets SEC

Corporate & Financial Weekly Digest - Volume X, Issue 16

In this issue: - SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting - CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors - CFTC...more

4/27/2015 - CFTC DCMs ESMA Financial Markets High Frequency Trading SEC Securities SEFs Virtual Currency Whistleblower Awards

Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About?

There has been a renewed focus in recent months on how to determine which regulatory regimes apply to the various parties involved in private placements of municipal debt. The very public controversy over the question of...more

4/24/2015

Proposed Amendments to SEC Rule 15b9-1 Would Require Most Proprietary Trading Broker-Dealers to Become FINRA Members

Consistent with the increased regulatory scrutiny of proprietary trading firms-and high frequency trading firms in particular—the Securities and Exchange Commission (SEC) recently proposed amendments to SEC Rule 15b9-1 (also...more

4/21/2015 - Broker-Dealer FINRA Proposed Amendments Proprietary Trading Rule 15B9-1 SEC Securities Exchange Act

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

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