James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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CBOE and C2 in Discussions With FINRA for Regulatory Services

CBOE Holdings Inc., the parent company of the Chicago Board Options Exchange (CBOE) and the C2 Options Exchange (C2), has issued a news release announcing that CBOE and C2 are in discussions with the Financial Industry...more

9/16/2014 - CBOE FINRA

Corporate and Financial Weekly Digest - Volume IX, Issue 36

In this issue: - Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld - FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms - CBOE and C2 in...more

9/15/2014 - AIFM AIFMD Banks Bitcoins CBOE CFPB CFTC Commodity Pool Compliance CPO Cross-Border Exclusive Jurisdiction False Claims Act FINRA Forum ISDA JOBS Act Jurisdiction OTC Regulation M Regulation Z SEC Security-Based Swaps Swap Dealers Swaps UK

CBOE Reminds Trading Permit Holders to Notify Exchange of Disciplinary Actions

The Chicago Board Options Exchange (CBOE) issued a Regulatory Circular reminding Trading Permit Holders (TPH) that CBOE Rule 4.9 requires every TPH to notify the CBOE in writing of any disciplinary action taken by other...more

6/11/2013 - CBOE Disciplinary Proceedings Permits Trading Plans

CBOE Proposes to Amend Preferred Market Maker's Continuous Quoting Obligations

On January 18, the Chicago Board Options Exchange (CBOE) issued a proposed rule that would amend the continuous quoting obligations for preferred market-makers (PMMs). CBOE Rule 8.13(d) currently requires PMMs to provide...more

1/30/2013 - CBOE Preferred Market Makers

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