James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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Web Based Surveillance Reports

In a regulatory circular to Trading Permit Holders (TPHs), the Chicago Board Options Exchange (CBOE) announced that as of August 10 it has made the Book Trade Through Surveillance Reports available to TPHs on its Web Based...more

8/18/2015 - CBOE Electronic Records Electronic Trading Information Reports Surveillance

CBOE Proposes to Offer Extended Trading Hours for SPX and VIX Options

The Chicago Board Options Exchange (CBOE) has proposed to offer Extended Trading Hours (ETH) on certain index options contracts....more

3/5/2015 - CBOE Stock Options

Corporate and Financial Weekly Digest - Volume X, Issue 8

In this issue: - CBOE Proposes to Offer Extended Trading Hours for SPX and VIX Options - CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs - CFTC Reopens Comment Period for...more

3/2/2015 - Administrative Hearings CBOE CFTC ESMA Joint Venture Memorandum of Understanding SEC

CBOE Proposes to Amend Order Ticket Requirements for Certain Orders

On January 23, the Chicago Board Options Exchange (CBOE) proposed rule changes that would amend order ticket requirements for certain orders under CBOE Rules 6.53 and 24.20. Specifically, the proposed amendment to CBOE Rule...more

2/11/2015 - CBOE Proposed Amendments SEC

Corporate and Financial Weekly Digest - Volume X, Issue 5

In this issue: - SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition - Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models - SEC Issues New...more

2/9/2015 - Accredited Investors CBOE Cybersecurity Emerging Growth Companies Enforcement Actions Equity Plans ESMA Exchange Offer Federal Reserve FINRA Glass Lewis Pay-for-Performance Ponzi Scheme Private Student Loans Proposed Amendments SEC Small Business Tender Offers

CBOE Makes Enhancements to Its Market-Maker Trade Notification System

The Chicago Board Options Exchange (CBOE) has issued Regulatory Circular RG14-155 regarding enhancements to its Market-Maker Trade Notification system. When a floor broker uses the CBOE’s Public Automated Routing system to...more

11/18/2014 - CBOE Market Making

Corporate and Financial Weekly Digest - Volume IX, Issue 45

In this issue: - Proxy Advisory Firms Release Policy Updates for 2015 - CBOE Makes Enhancements to Its Market-Maker Trade Notification System - OTC Derivatives Regulators Group Issues Report to G20...more

11/17/2014 - AIFM AIFMD CBOE CFTC Derivatives ESMA Financial Conduct Authority G20 Glass Lewis ISS Market Making OTC Prepaid Payment Products Proxy Season Proxy Voting Guidelines

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

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