James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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SEC 2013 Examination Priorities

The Securities and Exchange Commission’s National Examination Program (NEP) published its examination priorities for 2013. The examination priorities address market-wide issues as well as issues with respect to the following...more

3/6/2013 - Conflicts of Interest Data Protection Fraud NEP Risk Management SEC

FINRA Requests Comment on Proposed Rule Requiring Disclosure of Conflicts of Interest in Recruitment Incentives

Member firms often offer financial incentives when recruiting registered representatives. The Financial Industry Regulatory Authority has stated that it believes such financial incentives raise conflicts of interest that...more

1/14/2013 - Conflicts of Interest FINRA Recruitment Incentives

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