James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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SEC Requests Public Comment on ETPs

On June 12, the Securities and Exchange Commission announced that it is seeking public comment in connection with its review of the listing and trading of exchange-traded products (ETPs) on national securities exchanges and...more

6/23/2015 - Broker-Dealer Exchange-Traded Products Public Comment SEC Securities Exchange Act Stock Exchange

Corporate & Financial Weekly Digest - Volume X, Issue 24

In This Issue: - SEC Denies Motion to Stay Regulation A+ - SEC Requests Public Comment on ETPs - CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs - Eleventh Circuit Upholds...more

6/22/2015 - Alternative Investment Funds AMF Banking Sector Broker-Dealer Brokers CFTC Commodities Corporate Governance Exchange-Traded Products FDIC Food Commodities Insider Trading Mortgage Lenders Mortgages OCC Regulation A SEC Wire Fraud

FINRA Proposes Revised BrokerCheck Hyperlink Rule

On May 27, the Financial Industry Regulatory Authority filed a revised rule proposal with the Securities and Exchange Commission to amend FINRA Rule 2210. Specifically, the revised proposal would require each member firm’s...more

6/9/2015 - Broker-Dealer BrokerCheck Brokers FINRA Hyperlink Proposed Amendments Proposed Regulation SEC

Corporate & Financial Weekly Digest - Volume X, Issue 22

In This Issue: - SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules - States Challenge Blue Sky Preemption Under Regulation A+ - FINRA Proposes Revised BrokerCheck Hyperlink Rule -...more

6/8/2015 - Blue Sky Laws BrokerCheck Capital Markets CFTC Clawbacks Disclosure Requirements EU European Commission Executive Compensation Financial Conduct Authority FINRA Hedge Funds Investment Adviser National Futures Association NFA Preemption Public Comment Regulation A SEC Total Shareholder Return (TSR)

SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting

On April 17, the Securities and Exchange Commission announced that its Equity Market Structure Advisory Committee (Committee) will hold its first meeting on May 13. The Committee, which was created earlier this year to...more

4/28/2015 - Equity Markets Investment Advisory Committee Rule 611 SEC

Corporate & Financial Weekly Digest - Volume X, Issue 16

In this issue: - SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting - CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors - CFTC...more

4/27/2015 - CFTC DCMs ESMA Financial Markets High Frequency Trading SEC Securities SEFs Virtual Currency Whistleblower Awards

Proposed Amendments to SEC Rule 15b9-1 Would Require Most Proprietary Trading Broker-Dealers to Become FINRA Members

Consistent with the increased regulatory scrutiny of proprietary trading firms-and high frequency trading firms in particular—the Securities and Exchange Commission (SEC) recently proposed amendments to SEC Rule 15b9-1 (also...more

4/21/2015 - Broker-Dealer FINRA Proposed Amendments Proprietary Trading Rule 15B9-1 SEC Securities Exchange Act

SEC Staff Clarifies Regulation SHO FAQ 2.5(B) on Order Marking

As reported in the March 20 edition of the Corporate & Financial Weekly Digest, the staff of the Securities and Exchange Commission’s Division of Trading and Markets (Staff) issued new frequently asked questions (FAQs)...more

4/1/2015 - New Guidance Regulation SHO SEC

SEC Proposes to Amend Rule 15b9-1

The Securities and Exchange Commission is proposing to amend Rule 15b9-1 under the Securities Exchange Act of 1934, as amended, to require broker-dealers that engage in off-exchange proprietary trading to become members of a...more

4/1/2015 - Broker-Dealer FINRA High Frequency Trading Proposed Amendments Registration Requirement Rule 15B9-1 SEC Securities Exchange Act

FINRA Issues Guidance on Effective Supervision for Firms Engaging in Algorithmic Trading Strategies

The Financial Industry Regulatory Authority released Regulatory Notice 15-09 to provide guidance to member firms and market participants on effective supervision and control practices with respect to algorithmic trading...more

3/31/2015 - Algorithmic Trading FINRA Market Participants SEC Supervision

Corporate & Financial Weekly Digest - Volume X, Issue 12

In this issue: - SEC Adopts Final Rules for Regulation A+ Offerings - FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions - FINRA Issues...more

3/30/2015 - AIFMD Algorithmic Trading CFTC Final Rules FINRA New Guidance Pharmaceutical Manufacturers Regulation A Regulation SHO SEC Securities Fraud Supervision

SEC Staff Issues New FAQs on Regulation SHO

On March 17, the staff of the Securities and Exchange Commission’s Division of Trading and Markets (Staff) issued three new frequently asked questions (FAQs) relating to Regulation SHO. The current guidance under FAQ 2.5...more

3/25/2015 - Corporate Issuers Regulation SHO SEC

SEC Approves ISE Rules on Information Barriers Between Customer and Proprietary Business

On March 17, the Securities and Exchange Commission approved amendments to the information barrier rule of the International Securities Exchange, LLC (ISE). As reported in the October 17, 2014, edition of the Corporate &...more

3/25/2015 - Information Sharing SEC

Corporate & Financial Weekly Digest - Volume X, Issue 11

In This Issue: - Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions - SEC Charges Insiders for Failure to Update Schedule 13D Disclosures - CBOE Proposes Amendments to...more

3/23/2015 - AML/CFT Bylaws CFTC Criminal Background Checks Cybersecurity Delaware General Corporation Law Derivatives Disclosure Requirements Exclusive Forum FATCA Fee-Shifting FinCEN Hong Kong Insider Trading Regulation SHO SEC

Corporate and Financial Weekly Digest - Volume X, Issue 8

In this issue: - CBOE Proposes to Offer Extended Trading Hours for SPX and VIX Options - CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs - CFTC Reopens Comment Period for...more

3/2/2015 - Administrative Hearings CBOE CFTC ESMA Joint Venture Memorandum of Understanding SEC

SEC and FINRA Issue Cybersecurity Publications

On February 3, the Securities and Exchange Commission and Financial Industry Regulatory Authority issued separate publications on cybersecurity risk. The SEC’s risk alert provides summary observations from the SEC’s Office of...more

2/12/2015 - Broker-Dealer Cybersecurity FINRA Industry Examinations Investment Adviser Risk Alert SEC

CBOE Proposes to Amend Order Ticket Requirements for Certain Orders

On January 23, the Chicago Board Options Exchange (CBOE) proposed rule changes that would amend order ticket requirements for certain orders under CBOE Rules 6.53 and 24.20. Specifically, the proposed amendment to CBOE Rule...more

2/11/2015 - CBOE Order Ticket Proposed Amendments SEC

Corporate and Financial Weekly Digest - Volume X, Issue 5

In this issue: - SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition - Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models - SEC Issues New...more

2/9/2015 - Accredited Investors CBOE Cybersecurity Emerging Growth Companies Enforcement Actions Equity Plans ESMA Exchange Offer Federal Reserve FINRA Glass Lewis Pay-for-Performance Ponzi Scheme Private Student Loans Proposed Amendments SEC Small Business Tender Offers

SEC Comments on FINRA’s Proposed Rule Amendment to Increase Pricing Disclosure

On January 20, the Securities and Exchange Commission commented on the Financial Industry Regulatory Authority’s proposed amendment to FINRA Rule 2232 regarding transparency on prices in certain retail transactions in...more

1/27/2015 - FINRA Fixed Income Investments Proposed Amendments SEC

Corporate and Financial Weekly Digest - Volume X, Issue 3

In this issue: - SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals - SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure - CFTC Grants...more

1/26/2015 - Broker-Dealer Canada CFTC Class Action Conflicts of Interest ESMA FINRA Forex Hart-Scott-Rodino Act Hong Kong Layering Mary Jo White Mexico Mining Mortgages NFA OCC Proposed Regulation Proxy Access Rule PSLRA Scienter SEC Securities Shareholder Proposals Threshhold Requirements Whole Foods

SEC 2015 Examination Priorities Focus on Liquid Alternatives and Fixed-Income Funds

On January 13, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2015 examination priorities for investment companies, investment advisers, broker-dealers and...more

1/20/2015 - Broker-Dealer Fixed Income Investments Investment Adviser LiquidAlts OCIE Qualified Retirement Plans SEC SEC Examination Priorities Transfer Agents

Corporate and Financial Weekly Digest - Volume X, Issue 2

In this issue: - New Law Aligns Clearing and Margin Exceptions for Swaps - CFTC Staff Extends No-Action Relief to Certain Reporting Counterparties Masking Identifying Information Pursuant to Non-US Law -...more

1/19/2015 - Appraisal CFTC Compliance EMIR Enforcement Actions ESMA European Commission Fixed Income Investments LiquidAlts MiFID No-Action Relief SEC SEC Examination Priorities Securities Securities Fraud Shareholders Swap Clearing Swaps Terrorism Insurance TRIA

SEC Approves Amendments to NASD Rule 2340 and FINRA Rule 2310 to Address Values of Direct Participation Program and Unlisted Real...

The Financial Industry Regulatory Authority has issued Regulatory Notice 15-02 regarding the Securities and Exchange Commission’s approved amendments to National Association of Securities Dealers (NASD) Rule 2340 (and...more

1/13/2015 - Amended Regulation FINRA Nasdaq REITS SEC Stocks Valuation

SEC Approves FINRA Rule Proposal Regarding Responsibilities of FINRA Member Firms to Investigate Applicants for Registration

The Securities and Exchange Commission has granted accelerated approval of a Financial Industry Regulatory Authority proposal to adopt FINRA Rule 3110(e) concerning the responsibility of FINRA member firms to investigate...more

1/13/2015 - Background Checks FINRA Registration SEC

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