KATIE KLABEN advises financial services firms – particularly private fund 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 is a member of Sidley’s global Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for Financial Services Regulation, and was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers.
Katie graduated summa cum laude from the American University Washington College of Law, where she served as a fellow for both the Legal Rhetoric Program and the Marshall-Brennan Constitutional Literacy Project. She earned her B.S. in Business Administration, with a focus on finance and international business, from the Georgetown University McDonough School of Business.
Prior to joining the firm, Katie spent a summer working in the Office of Compliance Inspections and Examinations in the U.S. Securities and Exchange Commission. She also spent three years at SNL Financial, where she managed the Specialized Financial Services division.