James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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FINRA's New Consolidated Supervision Rules: A Roadmap to Compliance

The Financial Industry Regulatory Authority (FINRA) has adopted comprehensive new consolidated rules regarding supervision of member firms' activities, which become effective on December 1. While the new FINRA rules...more

11/12/2014 - Compliance FINRA London Stock Exchange NASD NYSE

SEC Approves New FINRA Supervision Rules

The current rulebook of the Financial Industry Regulatory Authority consists of FINRA rules, legacy National Association of Securities Dealers (NASD) rules (that apply to all FINRA member firms) and rules incorporated from...more

3/25/2014 - Broker-Dealer FINRA NYSE SEC

Amendments to Uniform Branch Office Registration Form

Broker-dealers are required to use the Branch Office Registration Form (Form BR) to register their branch offices with the Financial Industry Regulatory Authority, the New York Stock Exchange and participating states via the...more

3/25/2014 - Broker-Dealer FINRA NYSE Registration Self-Regulatory Organizations

NYSE Eliminates Certain Equities Account Type Indicators

The New York Stock Exchange LLC and NYSE MKT LLC have eliminated certain equities Account Type Indicators (ATIs). As of October 15, 2012, member organizations were no longer required to use the eliminated ATIs...more

1/14/2013 - Account Type Indicators Equity Securities NYSE

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