Janet M. Angstadt

Janet M. Angstadt

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future”...more

9/19/2016 - AML/CFT Dodd-Frank Equity Markets EU Exchange-Traded Products Regulation SCI Regulation Technical Standards (RTS) Reporting Requirements

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

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

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