James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume XI, Issue 16

SEC/CORPORATE SEC Releases Registration Fee Estimator On April 18, the Securities and Exchange Commission announced the release of an online tool that will assist companies in calculating registration fees relating to...more

4/25/2016 - Business Conduct Standards Canada Chief Compliance Officers Dodd-Frank EDGAR EU High Frequency Trading Major Swap Participants Memorandum of Understanding NCUA Pensions SFTR UK

The SEC Approves a FINRA Rule Amendment Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading...

On April 7, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 1032(f) which will require registration as Securities Traders of associated persons who are primarily responsible for the design,...more

4/15/2016 - Algorithmic Trading Associated Persons FINRA NASD Registration Requirement SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 14

BROKER-DEALER - SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items - On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11...more

4/11/2016 - CFTC Corporate Governance EU Exchange-Traded Products FDIC Filing Requirements FINRA Guidance Update MiFIR Natural Gas Remuneration Swaps UCITS V

Corporate and Financial Weekly Digest - Volume XI, Issue 13

BROKER-DEALER - FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule - On March 29, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a...more

4/4/2016 - Derivatives ESMA EU EU Market Abuse Regulation (EU MAR) Exchange-Traded Products FINRA

SEC Announces Creation of Office of Risk and Strategy

On March 8, the Securities and Exchange Commission announced the creation of the Office of Risk and Strategy (ORS) within the SEC’s Office of Compliance Inspections and Examinations (OCIE)....more

3/15/2016 - Administrative Boards OCIE Registered Investment Advisors SEC SEC Examination Priorities

Corporate and Financial Weekly Digest - Volume XI, Issue 10

BROKER-DEALER - SEC Announces Creation of Office of Risk and Strategy - On March 8, the Securities and Exchange Commission announced the creation of the Office of Risk and Strategy (ORS) within the SEC’s Office of...more

3/14/2016 - Basel III EU Major Swap Participants Margin Requirements Person of Significant Control (PSC Register) Senior Managers Insurers Regime (SMIR) Swap Dealers UK

FINRA Requests Information Regarding Firm Culture and Values

The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how those values impact business decisions. FINRA’s 2016 Regulatory and Examination Priorities...more

3/1/2016 - Broker-Dealer Corporate Culture FINRA

Corporate and Financial Weekly Digest - Volume XI, Issue 8

BROKER-DEALER - FINRA Requests Information Regarding Firm Culture and Values - The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how...more

2/29/2016 - Banking Examinations Comptroller Corporate Culture Depository Institutions EU Examination Priorities ISDA MiFID II No-Action Letters Recordkeeping Requirements Security-Based Swaps Stress Tests UK

FINRA Files Proposed Rule Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading Strategies

The Financial Industry Regulatory Authority (FINRA) has filed with the Securities and Exchange Commission (SEC) a proposed rule change that would require the registration of associated persons of FINRA member firms who are...more

2/19/2016 - Algorithmic Trading FINRA NASD Proposed Regulation Registration Requirement

Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC...

On February 9, the Securities and Exchange Commission withdrew a no-action letter that was issued on November 28, 2012 (Old Letter), and issued a new one in its place (New Letter). The New Letter is identical to the Old...more

2/16/2016 - Foreign Issuers No-Action Letters SEC

FINRA Regulatory Notice Regarding Private Placements and Public Offerings Subject to a Contingency

The Financial Industry Regulatory Authority’s review of various securities offering documents revealed instances in which broker-dealers have not complied with Securities Exchange Act Rules 10b-9 and 15c2-4 requirements...more

2/16/2016 - Broker-Dealer FINRA Offering Documents Private Placements Public Offerings

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

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