James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

Contact  |  View Bio  |  RSS

Latest Posts › SEC

Share:

Corporate and Financial Weekly Digest - Volume IX, Issue 36

In this issue: - Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld - FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms - CBOE and C2 in...more

9/15/2014 - AIFM AIFMD Banks Bitcoins CBOE CFPB CFTC Commodity Pool Compliance CPO Cross-Border Exclusive Jurisdiction False Claims Act FINRA Forum ISDA JOBS Act Jurisdiction OTC Regulation M Regulation Z SEC Security-Based Swaps Swap Dealers Swaps UK

Corporate and Financial Weekly Digest - Volume IX, Issue 30

In this issue: - Amendments to FINRA Rule 2210 Regarding Communications With the Public - Smith & Wesson Pays $2 Million to Resolve SEC Charges - Former Chief Operating Officer Settles SEC Fraud...more

8/4/2014 - Advertising Banking Sector Banks Broker-Dealer Corporate Officers Electronic Communications FINRA Misappropriation Retailers Rule 2210 SEC Securities Securities Exchange Act Securities Fraud Settlement Smith & Wesson

SEC Approves FINRA Rule Limiting Expungement

On July 22, the Securities and Exchange Commission authorized the Financial Industry Regulatory Authority, Inc. to implement FINRA Rule 2081 prohibiting brokers from conditioning settlement of customer complaints on (or...more

7/29/2014 - Expungement Financial Regulatory Reform FINRA SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 29

In this issue: - SEC Approves FINRA Rule Limiting Expungement - CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements - CFTC Releases Rule Enforcement Review of ICE...more

7/28/2014 - CFTC FINRA Futures Insider Trading No-Action Relief Proxy Voting Guidelines Reporting Requirements Rule 10b-5 SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 27

In this issue: - SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation - SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor...more

7/14/2014 - Accredited Investors Audits C&DIs Exchange-Traded Products FINRA General Solicitation Hedge Funds Insider Trading Investment Adviser Proxy Advisors Proxy Voting Guidelines SEC Verification Requirements

Corporate and Financial Weekly Digest - Volume IX, Issue 25

In this issue: - Delaware Court of Chancery Rules That a Major Debt Holder and 48 Percent Stockholder Is a Controlling Stockholder and Owes Fiduciary Duties to Minority Stockholders - Delaware Court of Chancery...more

6/23/2014 - Compliance Controlling Stockholders Cross-Border Debt Debtors Disclosure Requirements FCMs Fiduciary Duty FINRA Fraud Investment Adviser Minority Shareholders Real Estate Market SEC Shareholder Litigation Shareholders Swaps

Commissioner Kara M. Stein Calls for More Stringent Net Capital Requirements for Broker Dealers

On June 12, Commissioner Kara M. Stein called on the Securities and Exchange Commission to make its net capital requirements for broker dealers more stringent. Commissioner Stein warned that current net capital levels may not...more

6/17/2014 - Broker-Dealer Net Capital Rule SEC SEC Commissioner

Corporate and Financial Weekly Digest - Volume IX, Issue 24

In this issue: - Commissioner Kara M. Stein Calls for More Stringent Net Capital Requirements for Broker Dealers - US Marshals Service Announces Auction of Silk Road Bitcoins - Investment Adviser Accused...more

6/16/2014 - Akamai Technologies Bitcoins Broker-Dealer Digital Assets Enforcement Enforcement Actions Fraud Investment Adviser SEC Section 10(b) Section 10(b)-5 Securities Exchange Act Securities Fraud Virtual Currency

SEC Approves FINRA Rule Change to Limit Self-Trading

On May 1, the Securities and Exchange Commission approved a change to Financial Industry Regulatory Authority, Inc. Rule 5210 regarding limits on self-trading. ...more

5/13/2014 - FINRA SEC Stock Trades

FINRA Proposes to Amend Rule 11892

On May 6, the Securities and Exchange Commission published a notice of filing of a proposed change to Financial Industry Regulatory Authority, Inc. Rule 11892 regarding clearly erroneous transactions in exchange-listed...more

5/13/2014 - FINRA Proposed Amendments SEC Securities

Corporate and Financial Weekly Digest - Volume IX, Issue 19

In this issue: - FINRA Proposes to Amend Rule 11892 - SEC Approves FINRA Rule Change to Limit Self-Trading - FATCA Transitional Relief and Extension of Time for the Implementation of New Account...more

5/12/2014 - Bitcoins Conspiracies Cybersecurity Disclosure Requirements FATCA FCPB FDIC FEC FFIEC FINRA International Tax Issues Investors Privacy Laws Reverse Mergers SEC Self-Dealing

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 FAQs on Rule 15c3-5 for Broker Dealers with Market Access

On April 15, the Securities and Exchange Commission’s Division of Trading and Markets issued guidance in the form of 19 frequently asked questions (FAQs) on Rule 15c3-5 of the Securities Exchange Act of 1934 (Exchange Act),...more

4/22/2014 - Broker-Dealer SEC Securities Exchange Act Third-Party Risk

Corporate and Financial Weekly Digest - Volume IX, Issue 16

In this issue: - US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule - FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements - SEC Issues FAQs...more

4/21/2014 - Broker-Dealer CME Conflict Mineral Rules Expungement FINRA Fraud Hedge Funds SEC

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

Corporate and Financial Weekly Digest - Volume IX, Issue 15

In this issue: - SEC Issues New FAQs on Conflict Minerals - SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule - FINRA Requests Comment on Rules Regarding...more

4/14/2014 - Broker-Dealer CFTC Collateralized Loan Obligations Conflict Mineral Rules FINRA Leverage Capital Ratio MTFs SEC Swaps

SEC Requests Comment on FINRA Rules

The Securities and Exchange Commission is requesting comments from the public on two proposals from the Financial Industry Regulatory Authority, Inc. First, FINRA proposed to amend FINRA Rule 2210 (Communications with the...more

4/8/2014 - FINRA Investment Company Act of 1940 Public Comment SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 14

In this issue: - SEC Requests Comment on FINRA Rules - CFTC Issues Interpretation Regarding Auditor Independence Standards - OTC Derivatives Regulators Group Issues Report to G20 - NFA...more

4/7/2014 - Auditors Audits CFTC FATF FINRA G20 NFA ORC SEC Securities Fraud Virtual Currency

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

Corporate and Financial Weekly Digest - Volume IX, Issue 12

In this issue: - Delaware Supreme Court Upholds Chancery Court Ruling that Applied Business Judgment Rule to Going Private Transaction with Controlling Stockholder - Amendments to Uniform Branch Office...more

3/24/2014 - CFTC Controlling Stockholders Corporate Counsel Discrimination Employer Liability Issues FINRA MFW Racial Discrimination Registration SEC Shareholder Litigation Shareholders Swaps

FINRA Proposes to Amend Rules 2210 and 2214

The Financial Industry Regulatory Authority filed proposed rule changes with the Securities and Exchange Commission to amend FINRA Rules 2210 and 2214. Rule 2210, which governs broker-dealers’ communications with the public,...more

3/18/2014 - Broker-Dealer Compliance FINRA Recordkeeping Requirements SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 11

In this issue: - NASDAQ Launches Marketplace for Private Companies - SEC Proposes Rules to Enhance Oversight of Clearing Agencies - FINRA Proposes to Amend Rules 2210 and 2214 - CME Group Exchanges...more

3/17/2014 - Audits CFTC Clearing Agencies CME FINRA Nasdaq Ponzi Scheme Risk Management SEC Transfers

SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments

On February 26, the Securities and Exchange Commission’s Division of Trading and Markets granted two separate requests for no-action relief, one submitted by the Securities Industry and Financial Markets Association (SIFMA)...more

3/11/2014 - Banks Broker-Dealer FDIC No-Action Relief SEC SIFMA

Corporate and Financial Weekly Digest - Volume IX, Issue 10

In this issue: - FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers - SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments -...more

3/10/2014 - Appeals CFTC Disgorgement False Reporting Financial Reporting FINRA Fraud Mergers SEC

SEC Approves Changes to FINRA BrokerCheck Disclosure Rule 8312

The Securities and Exchange Commission approved two changes to Financial Industry Regulatory Authority Rule 8312 relating to FINRA BrokerCheck Disclosure (BrokerCheck Rule)...more

2/25/2014 - BrokerCheck Disclosure Requirements FINRA SEC

45 Results
|
View per page
Page: of 2