James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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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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