Janet M. Angstadt

ID: 1b830a78-2619-30fb-68c4

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Unclaimed

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Organization: Katten Muchin Rosenman

Additional Guidance on FINRA’s Suitability Rule

Corporate & Financial Weekly Digest · December 21, 2012

No-Action Relief Granted with Respect to Classification of Certain Persons as Owners of Broker-Dealers for Purposes of the Net Capital and Customer Protection Rules

Corporate & Financial Weekly Digest · December 21, 2012

No-Action Letter Regarding Definition of “Ready Market” with Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i)

Corporate & Financial Weekly Digest · December 21, 2012

SEC National Exam Program Initiative to Conduct Exams of Newly Registered Investment Advisers

Corporate & Financial Weekly Digest · October 12, 2012

SEC Report Regarding Handling of Material Non-public Information by Broker-Dealers

Corporate & Financial Weekly Digest · September 28, 2012