Janet M. Angstadt

Janet M. Angstadt

Katten Muchin Rosenman LLP

Contact  |  View Bio  |  RSS

Latest Posts › SEC

Share:

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

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

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

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

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

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

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

SEC Approves FINRA Equity and Debt Research Rules

The Securities and Exchange Commission has approved two Financial Industry Regulatory Authority rules that apply to equity and debt research. FINRA Rule 2241 adopts, with modifications, NASD Rule 2711 as a FINRA rule and...more

10/13/2015 - Broker-Dealer Brokers Equity Research Rule FINRA NASD SEC

Corporate and Financial Weekly Digest - Volume X, Issue 39

SEC/CORPORATE - House Passes Disclosure Modification and “4(a)(1)(1/2)” Bills - On October 6, the US House of Representatives passed the Disclosure Modification and Simplification Act of 2015 (H.R. 1525), which, if...more

10/12/2015 - Advisory Committee CFTC Derivatives EMIR Equity Research Rule EU European Securities and Markets Authority (ESMA) FINRA Form 10-K Market Risk Capital Rule NASD Registration Requirement Regulation S-K SEC

SEC Proposes Security-based Swap Data Repositories Make Data Available to Regulators

The SEC is proposing amendments to rules related to regulator access to security-based swap data held by security-based swap data repositories. If adopted, the amendments would require security-based swap data repositories...more

9/15/2015 - Comment Period Data Privacy Data-Sharing Proposed Amendments SEC Security-Based Swaps

Corporate and Financial Weekly Digest - Volume X, Issue 35

SEC/CORPORATE - US District Court Orders SEC To Revise Resource Extraction Issuer Rule - On September 2, the US District Court for the District of Massachusetts ordered the SEC to file with the District Court in 30...more

9/14/2015 - Banking Sector Broker-Dealer C-Suite Executives CFTC Commodities Consultation Corporate Executive Boards Failure To Disclose FFIEC Financial Conduct Authority (FCA) Financial Institutions Investment Funds Major Swap Participants NFA NYSE Oxfam America Resource Extraction Rulemaking Process SEC Swaps Trade Market Abuse UCITS UK

FINRA Proposes Revised BrokerCheck Hyperlink Rule

On May 27, the Financial Industry Regulatory Authority filed a revised rule proposal with the Securities and Exchange Commission to amend FINRA Rule 2210. Specifically, the revised proposal would require each member firm’s...more

6/9/2015 - Broker-Dealer BrokerCheck Brokers FINRA Hyperlink Proposed Amendments Proposed Regulation SEC

Corporate & Financial Weekly Digest - Volume X, Issue 22

In This Issue: - SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules - States Challenge Blue Sky Preemption Under Regulation A+ - FINRA Proposes Revised BrokerCheck Hyperlink Rule -...more

6/8/2015 - Blue Sky Laws BrokerCheck Capital Markets CFTC Clawbacks Disclosure Requirements EU European Commission Executive Compensation Financial Conduct Authority (FCA) FINRA Hedge Funds Investment Adviser National Futures Association NFA Preemption Public Comment Regulation A SEC Total Shareholder Return (TSR)

SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting

On April 17, the Securities and Exchange Commission announced that its Equity Market Structure Advisory Committee (Committee) will hold its first meeting on May 13. The Committee, which was created earlier this year to...more

4/28/2015 - Equity Markets SEC

Corporate & Financial Weekly Digest - Volume X, Issue 16

In this issue: - SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting - CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors - CFTC...more

4/27/2015 - CFTC DCMs European Securities and Markets Authority (ESMA) Financial Markets High Frequency Trading SEC Securities SEFs Virtual Currency Whistleblower Awards

Proposed Amendments to SEC Rule 15b9-1 Would Require Most Proprietary Trading Broker-Dealers to Become FINRA Members

Consistent with the increased regulatory scrutiny of proprietary trading firms-and high frequency trading firms in particular—the Securities and Exchange Commission (SEC) recently proposed amendments to SEC Rule 15b9-1 (also...more

4/21/2015 - Broker-Dealer FINRA Proposed Amendments Proprietary Trading Rule 15B9-1 SEC Securities Exchange Act

SEC Staff Clarifies Regulation SHO FAQ 2.5(B) on Order Marking

As reported in the March 20 edition of the Corporate & Financial Weekly Digest, the staff of the Securities and Exchange Commission’s Division of Trading and Markets (Staff) issued new frequently asked questions (FAQs)...more

4/1/2015 - New Guidance Regulation SHO SEC

SEC Proposes to Amend Rule 15b9-1

The Securities and Exchange Commission is proposing to amend Rule 15b9-1 under the Securities Exchange Act of 1934, as amended, to require broker-dealers that engage in off-exchange proprietary trading to become members of a...more

4/1/2015 - Broker-Dealer FINRA High Frequency Trading Proposed Amendments Registration Requirement Rule 15B9-1 SEC Securities Exchange Act

64 Results
|
View per page
Page: of 3

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×