James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

Contact  |  View Bio  |  RSS

Latest Posts › Disciplinary Proceedings

Share:

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

Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information

The Financial Industry Regulatory Authority filed a proposed rule change to amend Rule 8313, which governs the release of disciplinary and other information by FINRA to the public. Among other things, amended Rule 8313 would...more

4/2/2013 - Disciplinary Proceedings FINRA Public Disclosure SEC

2 Results
|
View per page
Page: of 1

All the intelligence you need, in one easy email:

Great! Your first step to building an email digest of JD Supra authors and topics. Log in with LinkedIn so we can start sending your digest...

Sign up for your custom alerts now, using LinkedIn ›

* With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.
×