Janet M. Angstadt

Janet M. Angstadt

Katten Muchin Rosenman LLP

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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 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

FINRA Proposes Rule Change to Codify Reporting Requirement for Accounts Acting in Concert

On December 11, the Financial Industry Regulatory Authority proposed a rule change to amend FINRA Rule 2360(b)(5) to reflect the current requirement that reporting rules apply to all accounts acting in concert. FINRA Rule...more

12/23/2014 - FINRA Proposed Amendments Reporting Requirements Stock Options

FINRA Proposes Rule Change to Identify Transactions with Non-Member Affiliates

The Financial Industry Regulatory Authority proposed a rule change to amend FINRA Rule 6700 Series to require member firms to identify transactions with non-member affiliates in Trade Reporting and Compliance Engine reports...more

12/23/2014 - Affiliates FINRA Proposed Regulation Reporting Requirements

FINRA's New Consolidated Supervision Rules: A Roadmap to Compliance

The Financial Industry Regulatory Authority (FINRA) has adopted comprehensive new consolidated rules regarding supervision of member firms' activities, which become effective on December 1. While the new FINRA rules...more

11/12/2014 - Compliance FINRA London Stock Exchange NASD NYSE

SEC Provides Relief to GSEC From Rule 204 Close-Out Requirements

On October 27, the Securities and Exchange Commission’s Division of Trading and Markets (Division) issued no-action relief to Goldman Sachs Execution & Clearing (GSEC) relating to the close-out requirements of Rule 204. In...more

11/4/2014 - Goldman Sachs No-Action Relief SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 43

In this issue: - ISS Announces Launch of QuickScore 3.0 - SEC Provides Relief to GSEC From Rule 204 Close-Out Requirements - CFTC Extends Relief to FCMs from Certain Commingling Requirements -...more

11/3/2014 - Banks CCPs CFTC Class Action Commingling Commodities Compliance EMIR ESMA EU European Commission FCMs Fixed Income Investments Flood Insurance Foreign Banks Foreign Exchanges ISS OCC Risk Retention SEC Securities Litigation UK

FINRA Remarks at the National Society of Compliance Professionals Conference

On October 20, Carlo di Florio, chief risk officer and head of strategy of the Financial Industry Regulatory Authority, gave a speech at the National Society of Compliance Professionals regarding risk and regulatory issues in...more

10/28/2014 - CARDS Chief Compliance Officers FINRA Professional Conferences Transparency

Corporate and Financial Weekly Digest - Volume IX, Issue 42

In this issue: - Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits - FINRA Remarks at the National Society of Compliance Professionals...more

10/27/2014 - AIFM Business Judgment Rule CFTC Enforcement Actions ETFs FINRA High Frequency Trading IOSCO Private Funds SEC Shareholder Litigation Shareholders

FINRA Postpones Rules on MPID Requirements for ATSs

On October 2, the Financial Industry Regulatory Authority, Inc. postponed the implementation date of the Market Participant Identifier (MPID) requirements for Alternative Trading Systems (ATSs) when reporting weekly volume...more

10/14/2014 - ATS Compliance FINRA Market Participants

FINRA Proposes to Extend Tier Size Pilot for OTC Equity Securities

On October 3, the Financial Industry Regulatory Authority, Inc. proposed to amend FINRA Rule 6433 to extend to February 13, 2015, the operation of the Tier Size Pilot (Pilot) that changed minimum quotation sizes (tier sizes)...more

10/14/2014 - FINRA OTC Private Equity

SEC Issues Risk Alert and FAQs on Customer Sales of Unregistered Securities

On October 9, the Securities and Exchange Commission released a Risk Alert and Frequently Asked Questions (FAQs) regarding customers’ sales of unregistered securities. The National Examination Program staff (Staff) of the...more

10/14/2014 - Bank Secrecy Act Compliance SEC Securities Act of 1933 Securities Exchange Act

FINRA Proposes to Make Permanent the Limited Fee Waiver Pilot Program for TRACE Data

On October 3, the Financial Industry Regulatory Authority, Inc. proposed a rule change to FINRA Rule 7730(C)(1)(A) to adopt as permanent the pilot program to provide certain market participants with a one-month trial period...more

10/14/2014 - Compliance Fees FINRA TRACE

Corporate and Financial Weekly Digest - Volume IX, Issue 40

In this issue: - SEC Division of Corporation Finance Issues New C&DI Related to Rule 147 and Website/Social Media Use - Director of SEC Division of Corporation Finance Gives Speech on Securities...more

10/13/2014 - Bitcoin CFTC Derivatives Derivatives Clearing Organizations Disclosure Disclosure Requirements FINRA Internet OTC SEC Securities Act of 1933 Social Media TRACE Virtual Currency Waivers Websites

FINRA Board Approves Several Rulemaking Items Including Proposed Rule Changes Regarding Algorithmic Trading and Enhanced...

The Financial Industry Regulatory Authority, Inc. announced on September 19 that the FINRA Board of Governors (Board) approved several new rule initiatives. Among the initiatives, FINRA will seek comment from members on a...more

9/30/2014 - Algorithmic Trading Equity Securities FINRA OTC Proposed Regulation Rulemaking Process Transparency

Corporate and Financial Weekly Digest - Volume IX, Issue 38

In this issue: - SEC Releases Strategic Plan for 2014–2018 - House Passes Bill H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act” - FINRA Board Approves Several Rulemaking Items...more

9/29/2014 - BEPS Block Trades CFTC Credit Default Swaps ESMA FCPA FINRA Foreign Official Job Creation New Legislation OECD OTC Ponzi Scheme Rulemaking Process SEC SEFs Small Business Strategic Enforcement Plan

FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms

The Board of Governors (the Board) of the Financial Industry Regulatory Authority is scheduled to meet on September 19 to consider rule proposals requiring heightened oversight of computerized trading strategies and greater...more

9/16/2014 - Algorithmic Trading Compliance Disclosure Requirements FINRA Transparency

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

SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies

On August 26, the Securities and Exchange Commission announced that the Financial Industry Regulatory Authority, Inc. and national securities exchanges proposed a 12-month pilot program to widen minimum quoting and trading...more

9/3/2014 - FINRA SEC Small Business

Corporate and Financial Weekly Digest - Volume IX, Issue 34

In this issue: - Oregon State Court Refuses to Enforce Forum Selection Bylaw - SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies - NFA Issues Notice Setting Effective Date for Risk...more

9/2/2014 - Arbitration Attorney's Fees CFTC Compliance Confidentiality Agreements ESMA EU FCA FINRA Forum Selection Clause Mandatory Arbitration Clauses NFA Restrictive Covenants Risk Management SEC Shareholder Litigation Shareholders Small Business

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

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