Janet M. Angstadt

Janet Angstadt concentrates her practice in financial services. She counsels broker-dealers and market centers on a wide variety of legal and regulatory matters, including mergers and acquisitions involving broker-dealers; exchange, FINRA and SEC investigations; compliance issues related to registrations, sales practice, short sales, Regulation NMS, market making, and options and equities order handling; broker-dealer sponsored alternative trading systems such as dark pools and electronic communication networks; policies and procedures for trading systems development and testing; and exchange-traded funds (ETFs). Ms. Angstadt’s clients include large, full-service broker-dealers as well as firms with market making, proprietary trading and algorithmic models. Ms. Angstadt is also counsel to various market centers on equities and derivatives market structure issues including market access, market data, new products and SEC policy initiatives. Ms. Angstadt has also conducted independent compliance and technology reviews and audits related to enforcement action settlements.

Prior to joining Katten, Ms. Angstadt served as general counsel of NYSE Arca Inc., NYSE Euronext’s electronic exchange for trading equities and options (formerly Archipelago). As general counsel of NYSE Arca, Ms. Angstadt worked extensively on market structure and regulatory compliance issues, and managed the company’s membership and registrations department. Prior to the merger of the New York Stock Exchange and Archipelago, she served as the deputy general counsel of Archipelago, where she created and implemented key company regulatory and legal policies, including the company’s SEC Automation Review Policy (ARP) standards and procedures for development and testing of exchange technology. Ms Angstadt also managed the compliance programs for Archipelago’s four affiliated broker-dealers, and played an integral role in legal and regulatory matters involving human resources, intellectual property, and mergers and acquisitions, including Archipelago's acquisition of the Pacific Exchange and Archipelago’s merger with the New York Stock Exchange.

Before joining Archipelago, Ms. Angstadt was senior vice president and counsel to the capital markets group of EVEREN Securities Inc. She went to EVEREN Securities from Schiff Hardin LLP, where she represented exchange markets and broker-dealers. Ms. Angstadt previously spent four years as senior counsel for the SEC's Division of Market Regulation, where she was part of the three-person study team for the Market 2000 Report.