James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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SEC Extends Interim Final Temporary Rule for Broker-Dealers Engaging in a Retail Forex Business

As reported in Corporate & Financial Weekly Digest edition of July 15, 2011, the Securities and Exchange Commission adopted interim final temporary Rule 15b12-1T to allow a registered broker-dealer to engage in a retail forex...more

7/23/2013 - Broker-Dealer Deadlines Final Rules Foreign Exchanges

SEC Approves FINRA Rule Change That Requires Reporting OTC Equity Transactions Within 10 Seconds

The Securities and Exchange Commission has approved a proposed rule change by the Financial Industry Regulatory Authority requiring that transactions and transaction cancellations in over-the-counter (OTC) equity securities...more

6/4/2013 - Final Rules FINRA OTC Reporting Requirements SEC

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