James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public

The Financial Industry Regulatory Authority issued Regulatory Notice 15-16 to solicit comments on proposed amendments to FINRA Rules governing communications with the public. FINRA is proposing to amend FINRA Rule 2210 so...more

5/28/2015 - Bonds Financial Regulatory Reform FINRA Mutual Funds Proposed Amendments Public Communications Rating Agencies Rule 2210

Amendments to FINRA Rule 2210 Regarding Communications With the Public

Financial Industry Regulatory Authority, Inc. Rule 2210 requires member firms to file certain communications with FINRA’s Advertising Regulation Department, including retail communications. The Rule 2210 filing requirements...more

8/5/2014 - Advertising Amended Regulation Filing Requirements FINRA Public Communications Retailers Rule 2210

FINRA Provides Guidance on Rules Governing Communications with the Public

The Securities and Exchange Commission approved a rule change by the Financial Industry Regulatory Authority pursuant to which National Association of Securities Dealers (NASD) Rules 2210 and 2211 and NASD Interpretive...more

1/14/2013 - FINRA Public Communications SEC

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