James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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Amendments to SEC Rules Regarding Broker Dealer Financial Responsibility and Reporting Requirements

The Securities and Exchange Commission adopted amendments to the financial responsibility requirements for broker dealers under the Securities Exchange Act of 1934 (Exchange Act) designed to safeguard customer securities and...more

8/13/2013 - Broker-Dealer Notice Requirements PCAOB Reporting Requirements SEC Securities Exchange Act Self-Regulatory Organizations SIPC Third-Party

Proposed Rule Change to Amend FINRA Rule Regarding Investor Education and Protection Disclosures

The Financial Industry Regulatory Authority filed a proposed rule change to amend FINRA Rule 2267 to require a member firm to include a description of and link to FINRA BrokerCheck on its website, social media page and any...more

1/15/2013 - BrokerCheck FINRA Investors Notice Requirements

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