James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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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

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 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 (FCA) FINRA Hedge Funds Investment Adviser National Futures Association NFA Preemption Public Comment Regulation A SEC Total Shareholder Return (TSR)

SEC Approves Changes to FINRA BrokerCheck Disclosure Rule 8312

The Securities and Exchange Commission approved two changes to Financial Industry Regulatory Authority Rule 8312 relating to FINRA BrokerCheck Disclosure (BrokerCheck Rule)...more

2/25/2014 - BrokerCheck Disclosure Requirements FINRA SEC

Proposed Rule Change to Amend FINRA Rule Regarding Investor Education and Protection Disclosures

The Financial Industry Regulatory Authority filed a proposed rule change to amend FINRA Rule 2267 to require a member firm to include a description of and link to FINRA BrokerCheck on its website, social media page and any...more

1/15/2013 - BrokerCheck FINRA Investors Notice Requirements

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