Janet M. Angstadt

Janet M. Angstadt

Katten Muchin Rosenman LLP

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FINRA Proposes to Adopt Rules on Quotation Requirements for OTC Equity Securities

The Financial Industry Regulatory Authority, Inc. is proposing to adopt rules governing the quotation requirements applicable to over-the-counter (OTC) equity securities. The rules would establish minimum standards for...more

7/23/2014 - Anti-Discrimination Policies FINRA Over-the-Counter Sales

Corporate and Financial Weekly Digest - Volume IX, Issue 28

In this issue: - FINRA Proposes to Adopt Rules on Quotation Requirements for OTC Equity Securities - CFTC Seeks Comment on ICE Clear Europe Portfolio Margining Proposal - New York DFS Proposes First...more

7/21/2014 - CFTC Equity Securities EU FDIC FINRA Margin Requirements Material Misstatements OTC Statute of Repose TCPA Vicarious Liability Virtual Currency

SEC Orders Securities Exchanges and FINRA to Develop Tick Size Pilot Plan

The Securities and Exchange Commission has issued an order directing certain national securities exchanges and the Financial Industry Regulatory Authority, Inc. to jointly develop and file with the SEC a national market...more

7/1/2014 - FINRA Market Participants SEC Stock Trades Stocks

Corporate and Financial Weekly Digest - Volume IX, Issue 26

In this issue: - Delaware Fee-Shifting Legislation Delayed - SEC Orders Securities Exchanges and FINRA to Develop Tick Size Pilot Plan - CFTC Extends Relief to FCMs from Certain Commingling...more

6/30/2014 - CFTC FCMs Fee-Shifting Statutes FINRA Fraud-on-the-Market Halliburton v Erica P. John Fund NFA No-Action Letters SCOTUS SEC Securities Securities Fraud Shareholder Litigation Shareholders Swap Dealers Swaps

SEC Chair Gives Speech on Equity Market Structure

On June 5, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Enhancing Our Equity Market Structure” in New York. The Chair addressed the importance of strengthening the existing market structure and...more

6/10/2014 - Equity Markets Equity Securities Mary Jo White SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 23

In this issue: - SEC Chair Gives Speech on Equity Market Structure - New CFTC Commissioners Confirmed; Chairman Sworn In - CFTC Extends No-Action Relief for Certain Transaction-Level Requirements...more

6/9/2014 - CFTC Commodity Pool CPO Cross-Border Derivatives Clearing Organizations Equity Markets Fraud NFA No-Action Relief SEC Swap Dealers 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

FINRA Proposes to Amend Rule 4210

The Financial Industry Regulatory Authority, Inc. requested comments on amendments to Rule 4210 to establish margin requirements for To Be Announced (TBA) market transactions. The TBA market is where most agency...more

4/1/2014 - FINRA Mortgage-Backed Securities

SEC Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks

On March 26, the Securities and Exchange Commission hosted a roundtable discussion on various cybersecurity topics. Participants at the roundtable included representatives from the federal government, self-regulatory...more

4/1/2014 - Cyber Attacks Cybersecurity Data Breach Data Protection SEC

Proposed Changes to FINRA Classification of Hybrid Securities for Trade Reporting Purposes

On March 26, the comment period ended for a Financial Industry Regulatory Authority, Inc. proposed rule change to adopt an interpretation to clarify the classification of a hybrid security with both debt- and equity-like...more

4/1/2014 - Financial Regulatory Reform FINRA Reporting Requirements

Corporate and Financial Weekly Digest - Volume IX, Issue 13

In this issue: - SEC Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks - Proposed Changes to FINRA Classification of Hybrid Securities for Trade Reporting Purposes - FINRA...more

3/31/2014 - CFTC Class Action Class Certification Collateralized Debt Obligations Cyber Attacks Cybersecurity Data Breach Data Protection FINRA ICE IPO SEC Swaps

FINRA Issues Annual Regulatory and Examination Priorities Letter for 2014

On January 2, the Financial Industry Regulatory Authority issued its annual letter to FINRA member firms outlining FINRA’s regulatory and examination priorities for 2014. The letter is meant to highlight areas of significance...more

1/7/2014 - Compliance Enforcement FINRA

SEC Issues Frequently Asked Questions on Supervisory Liability of Broker-Dealer Compliance and Legal Personnel Under Section...

On September 30, 2013, the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued Frequently Asked Questions (FAQs) in an effort to provide guidance regarding potential supervisory liability of...more

10/14/2013 - Broker-Dealer Chief Compliance Officers Compliance Corporate Counsel SEC Securities Exchange Act Supervisors

SEC Issues Frequently Asked Questions Regarding Liability of Broker-Dealer Compliance and Legal Personnel

The Securities and Exchange Commission Division of Trading and Markets has issued Frequently Asked Questions (FAQs) that provide guidance regarding potential supervisory liability of compliance and legal personnel at...more

10/8/2013 - Broker-Dealer Chief Compliance Officers Compliance SEC Securities Exchange Act Supervisors

FINRA Proposes Rule to Require Alternative Trading Systems to Report Volume Information and Use Unique Market Participant...

The Financial Industry Regulatory Authority filed a rule proposal with the Securities and Exchange Commission to require alternative trading systems (ATS) to report to FINRA volume information in securities (both equity and...more

10/8/2013 - ATS FINRA Reporting Requirements SEC

SEC Issues Risk Alert on Short Selling in Connection with a Public Offering

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert regarding Rule 105 of Regulation M’s (Rule 105) restrictions on short selling in connection with a...more

9/24/2013 - Compliance OCIE Public Offerings SEC Short Sales

SEC Grants Request for No-Action Relief with Respect to Multi-Day Pre-Fail and Post-Fail Credit Under Rule 204 of Regulation SHO

The Securities and Exchange Commission has granted a September 6 joint request for no-action relief submitted by the Financial Industry Regulatory Authority, the Chicago Board Options Exchange (CBOE) and C2 Options Exchange,...more

9/17/2013 - CBOE Creditors Enforcement Actions No-Action Relief SEC

SEC, CFTC and FINRA Issue Joint Advisory on Business Continuity and Disaster Recovery Planning

On August 16, 2013, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, the Financial Industry Regulatory Authority and the Commodity Futures Trading Commission’s Division of Swap...more

8/27/2013 - CFTC Continuity of Enterprises Disaster Aid FINRA Hurricane Sandy SEC

SEC Approves Amendments to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information

The Corporate and Financial Weekly Digest edition of March 29, 2013 summarized the Financial Industry Regulatory Authority’s proposed rule change to amend Rule 8313, which governs the release of disciplinary and other...more

8/27/2013 - Disciplinary Proceedings FINRA New Regulations SEC

FINRA Updates Private Placement Form and Issues FAQ

The Financial Industry Regulatory Authority updated the Private Placement Form that firms must use to file offering documents and information pursuant to FINRA Rules 5123 (Private Placements of Securities) and 5122 (Private...more

8/27/2013 - FINRA Private Placements

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

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