James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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Latest Posts › Fees


FINRA Proposes Rule Establishing Fee Schedule for Access to ATS Volume Data

The Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to adopt FINRA Rule 4553 (Fees for ATS Data), that would establish a fee schedule for optional...more

4/28/2014 - Alternative Trading Systems Fees FINRA Proposed Regulation

FINRA Offers Changes to Proposed Rules Governing Markups, Commissions and Fees

In February 2011, the Financial Industry Regulatory Authority initially sought comment on proposed rules governing markups, commissions and fees...more

2/19/2013 - Broker Commissions Fees FINRA Markups

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