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Janet M. Angstadt

Janet M. Angstadt

Katten Muchin Rosenman LLP


Latest Publications

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FINRA Provides Guidance on Communications with the Public Concerning Unlisted Real Estate Investment Programs

The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 13-18 (Regulatory Notice) to provide guidance to member firms on communications with the public concerning real estate investment programs that...more

5/15/2013 - DPPs FINRA Real Estate Investments REIT

SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, regulatory authority over derivatives is divided between the Securities and Exchange Commission and the Commodity Futures Trading Commission. The SEC has...more

5/15/2013 - CFTC Dodd-Frank Public Comment Rulemaking Process SEC Security-Based Swaps

FINRA's Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time

The Financial Industry Regulatory Authority issued frequently asked questions (FAQs) in connection with FINRA firms being required to submit new data elements for Electronic Blue Sheets (EBS) to correspond with the...more

3/26/2013 - Electronic Blue Sheets FINRA Reporting Requirements Securities Exchange Act

SEC Approves OBS Supplemental Schedule

The Securities and Exchange Commission approved the adoption of a supplemental schedule for derivatives and other off-balance sheet items. ...more

3/20/2013 - Derivatives Reporting Requirements SEC

FINRA Changes Membership Application Fees

The Financial Industry Regulatory Authority announced that it will waive continuing membership application (CMA) fees when a CMA proposes minor changes that do not require substantial review by FINRA staff, such as certain...more

3/19/2013 - Fees FINRA

FINRA Amends Rules to Address Extraordinary Market Volatility

The Financial Industry Regulatory Authority adopted rule amendments in furtherance of the joint industry Regulation NMS Plan to Address Extraordinary Market Volatility (Plan). Pursuant to the Plan, FINRA amended its rules to,...more

3/19/2013 - FINRA NMS Plan

SEC Proposes Rules Regarding Technology Systems

On March 8, the Securities and Exchange Commission proposed Regulation Systems Compliance and Integrity (Regulation SCI), which would require certain self-regulatory organizations, alternative trading systems, plan processors...more

3/19/2013 - Automation Review Policy Regulation SCI SEC Technology

SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers

The Securities and Exchange Commission issued a request for data and other information that the SEC will review while considering alternative standards of conduct for broker-dealers and investment advisers when they provide...more

3/13/2013 - Broker-Dealer Dodd-Frank Fiduciary Duty Investment Adviser SEC

SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification...

The Securities and Exchange Commission has extended a no-action letter dated February 12, 2004 (the 2004 Letter) from the Securities Industry Financial Markets Association (SIFMA) that permits broker-dealers, subject to...more

1/22/2013 - AML Broker-Dealer FinCEN Investment Adviser No-Action Letters SEC SIFMA

FINRA Issues Annual Regulatory and Examination Priorities Letter for 2013

On January 11, the Financial Industry Regulatory Authority (FINRA) issued its annual letter outlining FINRA’s regulatory and examination priorities for 2013 to FINRA-registered firms. The letter is meant to highlight to...more

1/21/2013 - FINRA

No-Action Letter Regarding Definition of "Ready Market" with Regard to Foreign Equity Securities Pursuant to SEC Rule...

Currently, under Securities and Exchange Commission Rule 15c3-1 (the Net Capital Rule), broker-dealers may treat equity securities of a foreign issuer that are listed on the FTSE World Index as having a ready market. A ready...more

12/28/2012 - Broker-Dealer FINRA Foreign Equity Securities Foreign Exchanges Issuers No-Action Letters SEC

Additional Guidance on FINRA's Suitability Rule

In May 2012, the Financial Industry Regulatory Authority provided guidance on Rule 2111 (Suitability) by providing answers to frequently asked questions (FAQs). Answers that supersede some of these FAQs and additional FAQs...more

12/28/2012 - Broker-Dealer FINRA Investment Adviser Suitability Rule

FINRA Rule Relating to Private Placements of Securities Effective December 3

In the September 14, 2012, edition of Corporate and Financial Weekly Digest, the firm published a summary of the Financial Industry Regulatory Authority’s Rule 5123 regarding private placement of securities...more

12/27/2012 - FINRA Private Investment Funds

No-Action Relief Granted with Respect to Classification of Certain Persons as Owners of Broker-Dealers for Purposes of the Net...

On December 10, 2012, the Securities and Exchange Commission granted no-action relief in a situation in which a broker-dealer classifies: a person (in one or more classes of ownership of the broker-dealer) as an owner of the...more

12/27/2012 - Broker-Dealer No-Action Letters SEC

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