Janet M. Angstadt

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

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Unclaimed

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Organization: Katten Muchin Rosenman

FINRA Publishes Regulatory Notice Regarding ATS Supervision Obligations

Corporate & Financial Weekly Digest · August 17, 2018

SEC Adopts New Form ATS-N and Amendments to Regulation ATS and Exchange Act Rule 3a1-1 to Enhance Transparency and Oversight of Alternative Trading Systems

Corporate & Financial Weekly Digest · July 20, 2018

SEC Proposes New Approval Process for Certain ETFs

Corporate & Financial Weekly Digest · June 29, 2018

SEC Division of Trading and Markets Director Gives Remarks Regarding Regulation Best Interest

Corporate & Financial Weekly Digest · May 25, 2018

FINRA Amends Rule 3310 to Reflect FinCEN’s Customer Due Diligence Requirements

Corporate & Financial Weekly Digest · May 11, 2018