Janet M. Angstadt

Janet M. Angstadt

Katten Muchin Rosenman LLP

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SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification...

The Securities and Exchange Commission has extended a no-action letter dated February 12, 2004 (the 2004 Letter) from the Securities Industry Financial Markets Association (SIFMA) that permits broker-dealers, subject to...more

1/22/2013 - Anti-Money Laundering Broker-Dealer FinCEN Investment Adviser No-Action Letters SEC SIFMA

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