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Katie Klaben
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About
Katie Klaben
Partner,, Sidley Austin
Katie Klaben is a partner in Sidley Austin LLP’s global Securities Enforcement and Regulatory practice. She advises a variety of financial services firms, including investment advisers, public companies, family offices and broker-dealers, on a wide range of securities regulatory, compliance, enforcement and transactional matters. Katie works extensively with clients on their compliance with the disclosure requirements and related liability under Sections 13 and 16 of the Exchange Act. She also assists broker-dealer and investment adviser clients with recordkeeping compliance and related regulatory inquiries. Katie has also counseled numerous broker-dealer clients on establishing and executing fully-paid securities lending programs.
Katie graduated summa cum laude from the American University Washington College of Law and earned her B.S. in Business Administration from the Georgetown University McDonough School of Business.
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