James D. Van De Graaff
Katten Muchin Rosenman LLP
Articles
FINRA Proposes Rule to Revise Qualification and Registration Requirements
USA - March 10 2017 On March 8, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to adopt amendments…
SEC Proposes Amendments to Rule 15c2-12
USA - March 10 2017 The Securities and Exchange Commission recently proposed amendments to Rule 15c2-12 under the Securities Exchange Act of 1934. Rule 15c2-12 prohibits…
FINRA Files Proposed Rules With The SEC To Implement Consolidated Audit Trail Plan
USA - February 17 2017 The Financial Industry Regulatory Authority (FINRA) has filed proposed rules with the Securities and Exchange Commission to adopt FINRA Rule 6800…
SEC Approves Pricing Disclosures for Fixed Income Securities
USA - February 17 2017 The Securities and Exchange Commission has approved amendments to Financial Industry Regulatory Authority (FINRA) Rule 2232 (Customer Confirmations)…
FINRA Proposes Amendments to Rule Pertaining to Communications with the Public
USA - February 17 2017 The Financial Industry Regulatory Authority (FINRA) is seeking comment with respect to proposed amendments (the "Proposed Amendments") to FINRA Rule…
