James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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FINRA Proposes Changes to FINRA Rules 7410 and 2121

The Financial Industry Regulatory Authority, Inc. is proposing to amend FINRA Rule 7410 to permit members which, under FINRA Rule 7410, are not considered to be “reporting members” (i.e., because, among other things, such...more

5/21/2014 - FINRA Proposed Amendments Reporting Requirements Securities

Corporate and Financial Weekly Digest - Volume IX, Issue 17

In this issue: - Proposed Amendments to Delaware General Corporation Law and Courts and Judicial Procedure Law - SEC Division of Corporation Finance Issues New C&DIs Relating to Social Media Use - FINRA...more

4/29/2014 - CFTC Clickwrap Agreements Compliance Delaware General Corporation Law Dodd-Frank Enforcement FINRA Foreign Exchanges No-Action Letters Recordkeeping Requirements Reporting Requirements SEC Swaps

SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule

The Securities and Exchange Commission’s Division of Trading and Markets has issued frequently asked questions (FAQ) concerning the amendments adopted on July 30, 2013, to Rule 17a-5 (Broker-Dealer Reporting Rule) of the...more

4/15/2014 - Broker-Dealer Reporting Requirements SEC

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

FINRA Issues FAQs Regarding TRACE Reporting

The Financial Industry Regulatory Authority has issued a trade reporting notice that addresses several issues in connection with reporting transactions to the Trade Reporting and Compliance Engine (TRACE) system involving...more

8/13/2013 - Compliance FINRA New Regulations Reporting Requirements Securities Act of 1933

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

FINRA Proposes Rule Change that Would Require Reporting OTC Equity Transactions Within 10 Seconds

The Financial Industry Regulatory Authority has filed a proposed rule change requiring trades and trade cancellations in over-the counter (OTC) transactions in National Market System stocks and OTC equity securities (as...more

2/19/2013 - Equity Transactions FINRA OTC Reporting Requirements

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