Janet M. Angstadt

Janet M. Angstadt

Katten Muchin Rosenman LLP

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SEC Approves IEX as a National Securities Exchange and Issues Interpretation To Allow IEX "Speed Bump"

As has been widely reported, the application of Investors' Exchange, LLC (IEX) to register with the Securities and Exchange Commission (SEC) as a national securities exchange has generated unprecedented interest and a fair...more

6/24/2016 - Flash Boys High Frequency Trading Investors' Exchange (IEX) SEC Securities Exchanges

Corporate and Financial Weekly Digest - Volume XI, Issue 23

SEC/CORPORATE - SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information - On June 1, the Securities and Exchange Commission adopted an interim final rule (Rule), as mandated...more

6/13/2016 - Algorithmic Trading European Commission Fixing America’s Surface Transportation Act (FAST Act) Form 10-K Interest Rate Swaps MiFID II Registration Requirement Security-Based Swaps Swap Clearing

The SEC Approves a FINRA Rule Amendment Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading...

On April 7, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 1032(f) which will require registration as Securities Traders of associated persons who are primarily responsible for the design,...more

4/15/2016 - Algorithmic Trading Associated Persons FINRA NASD Registration Requirement SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 13

BROKER-DEALER - FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule - On March 29, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a...more

4/4/2016 - Derivatives EU EU Market Abuse Regulation (EU MAR) European Securities and Markets Authority (ESMA) Exchange-Traded Products FINRA

SEC Announces Creation of Office of Risk and Strategy

On March 8, the Securities and Exchange Commission announced the creation of the Office of Risk and Strategy (ORS) within the SEC’s Office of Compliance Inspections and Examinations (OCIE)....more

3/15/2016 - Administrative Boards OCIE Registered Investment Advisors SEC SEC Examination Priorities

Corporate and Financial Weekly Digest - Volume XI, Issue 10

BROKER-DEALER - SEC Announces Creation of Office of Risk and Strategy - On March 8, the Securities and Exchange Commission announced the creation of the Office of Risk and Strategy (ORS) within the SEC’s Office of...more

3/14/2016 - Basel III EU Major Swap Participants Margin Requirements Person of Significant Control (PSC Register) Senior Managers Insurers Regime (SMIR) Swap Dealers UK

FINRA Requests Information Regarding Firm Culture and Values

The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how those values impact business decisions. FINRA’s 2016 Regulatory and Examination Priorities...more

3/1/2016 - Broker-Dealer Corporate Culture FINRA

Corporate and Financial Weekly Digest - Volume XI, Issue 8

BROKER-DEALER - FINRA Requests Information Regarding Firm Culture and Values - The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how...more

2/29/2016 - Banking Examinations Comptroller Corporate Culture Depository Institutions EU Examination Priorities ISDA MiFID II No-Action Letters Recordkeeping Requirements Security-Based Swaps Stress Tests UK

FINRA Files Proposed Rule Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading Strategies

The Financial Industry Regulatory Authority (FINRA) has filed with the Securities and Exchange Commission (SEC) a proposed rule change that would require the registration of associated persons of FINRA member firms who are...more

2/19/2016 - Algorithmic Trading FINRA NASD Proposed Regulation Registration Requirement

FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions

The Financial Industry Regulatory Authority released Regulatory Notice 16-03, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 0150 (Application of Rules to Exempted Securities...more

1/26/2016 - FINRA Issuer Exemption SEC U.S. Treasury

Corporate and Financial Weekly Digest - Volume XI, Issue 3

SEC/CORPORATE - SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors - On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more

1/25/2016 - EU Fixing America’s Surface Transportation Act (FAST Act) Hart-Scott-Rodino Act Management Fees No-Action Relief REMIT Swaps

Research Note: Equity Market Volatility on August 24, 2015

On December 29, 2015, the staff of the Securities and Exchange Commission’s Office of Analytics and Research Division of Trading and Markets published a research note (Research Note) on the unusual price volatility that the...more

1/12/2016 - Broker-Dealer Equity Markets Exchange-Traded Products Futures SEC

FINRA’s 2016 Regulatory and Examination Priorities

On January 5, the Financial Industry Regulatory Authority released its Regulatory Examination Priorities Letter, which identified its three main areas of focus for the year: (1) Culture, Conflicts of Interest and Ethics; (2)...more

1/12/2016 - Conflicts of Interest Examination Priorities FINRA Internal Controls Risk Management Supervision

Revised Pay-to-Play Rules

The Securities and Exchange Commission is seeking comments on a revised proposal recently filed by the Financial Industry Regulatory Authority to establish “pay-to-play” and related rules regulating the activities of FINRA...more

1/12/2016 - Broker-Dealer Comment Period Pay-To-Play Proposed Regulation SEC

Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules

The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority proposal to create a set of rules for FINRA member firms that meet the definition of “capital acquisition broker” (CAB)...more

1/12/2016 - Comment Period FINRA M&A Brokers Proposed Regulation SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 1

SEC/CORPORATE - PCAOB Adopts New Rules Requiring Disclosure of Participants in an Audit - On December 15, 2015, the Public Company Accounting Oversight Board (PCAOB) adopted new rules and related amendments to...more

1/11/2016 - Banking Sector C&DIs Examination Priorities Fixing America’s Surface Transportation Act (FAST Act) M&A Brokers Pay-To-Play PCAOB Regulation Technical Standards (RTS) SEC

FINRA Issues Notice on Providing Stock Quotations to Customers

The Financial Industry Regulatory Authority released Regulatory Notice 15-52 to remind firms and registered representatives of their obligations under the Vendor Display Rule of Regulation NMS. Under the Vendor Display Rule,...more

12/15/2015 - Broker-Dealer Financial Markets FINRA Information Statements Vendors

Corporate and Financial Weekly Digest - Volume X, Issue 47

SEC/CORPORATE - FAST Act Legislation and Impact on Securities Law - On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more

12/14/2015 - AIFMD CFTC Cybersecurity Disclosure Requirements Emerging Growth Companies EU European Securities and Markets Authority (ESMA) FINRA Fixing America’s Surface Transportation Act (FAST Act) SEC

SEC Approves Changes To Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck

Effective as of December 12, the Securities and Exchange Commission has approved a change to Financial Industry Regulatory Authority Rule 8312 (FINRA BrokerCheck Disclosure) to reduce the waiting period from 15 to three...more

12/8/2015 - BrokerCheck FINRA SEC Waiting Periods

FINRA Issues Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets

In light of the increasing use of automated markets for equity securities and standardized options, and recent advances in trading technology and communications in the fixed income markets, the Financial Industry Regulatory...more

12/8/2015 - FINRA Fixed Income Investments New Guidance Stock Options

Corporate and Financial Weekly Digest - Volume X, Issue 46

SEC/CORPORATE - Proxy Advisory Firms Release Policy Updates for 2016 - Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2016 proxy voting...more

12/7/2015 - Banking Sector Broker-Dealer CFTC EU FINRA MiFID II OCC Overboarding Proxy Voting Guidelines SEC Shareholder Proposals Waiting Periods

SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems

On November 18, the Securities and Exchange Commission proposed a rule to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed on a national securities...more

11/24/2015 - Alternative Trading Systems Regulatory Oversight SEC Trading Platforms Transparency Directive

Corporate and Financial Weekly Digest - Volume X, Issue 45

SEC/CORPORATE SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference - On November 16, Securities and Exchange Commissioner Michael Piwowar addressed the 34th Annual Current Financial Reporting...more

11/23/2015 - Alternative Trading Systems Anti-Money Laundering European Securities and Markets Authority (ESMA) Financial Sector IFRS SEC

SEC Grants Exemptive Relief With Respect to the Large Trader Rule

The Securities and Exchange Commission recently granted exemptive relief with respect to the large trader rule (SEC Rule 13h-1) (hereinafter referred to as the Rule) that (1) delays the implementation of certain requirements...more

11/11/2015 - Exemptive Orders Market Participants Recordkeeping Requirements Reporting Requirements SEC

Director of SEC’s Enforcement Division Speaks About Market Structure Enforcement

On November 2, Andrew Ceresney, the director of the Securities and Exchange Commission’s Enforcement Division (Division), gave a speech highlighting the sweeping changes that have occurred in equity market structure over the...more

11/10/2015 - Enforcement Equity Markets Market Access Rule SEC

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