Search for: "Lene Powell"
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23 Sep 2022, 7:30 am
By Lene Powell, J.D., Brad Rosen, J.D. and Matthew Garza, J.D.In remarks in May SEC Chair Gensler acknowledged that measures of the size of the environmental, social, and governance (ESG) investment sector vary, then repeated an estimate from industry association US SIF that put the “U.S. sustainable investment universe” at $17.1 trillion. [read post]
2 May 2024, 7:32 am
By Lene Powell, J.D.Accelerated use of “black box” artificial intelligence in financial markets could cause oversight challenges and market volatility, consumer groups warned in a comment letter to the CFTC. [read post]
15 May 2024, 5:58 am
By Lene Powell, J.D.To boost efforts against money laundering and terrorist financing, the SEC and FinCEN jointly proposed a new rule requiring certain investment advisers to have customer identification programs (CIPs). [read post]
17 Jun 2021, 7:32 am
By Lene Powell, J.D.Joining the Senate to head off a potential funding shortfall in the CFTC whistleblower program, the House Agriculture Committee approved a committee print to shore up funding for the program’s administrative expenses as well as customer education initiatives.Approved by voice vote, the committee print mirrors legislation passed by the Senate earlier this month (S. 409). [read post]
10 May 2021, 11:16 am
By Lene Powell, J.D. and Brad Rosen, J.D.While the Biden Administration has come flying out of the gate on multiple fronts during its first 100 days—public health, the economy, climate change, and infrastructure among other areas, it has largely ignored the Commodity Futures Trading Commission, the independent agency that regulates the nation’s futures and derivatives markets. [read post]
29 Jun 2023, 9:06 am
By Lene Powell, J.D.A federal district court declined to remind the SEC of ethical obligations in connection with statements in an SEC press release. [read post]
24 Sep 2018, 7:03 am
By Lene Powell, J.D. [read post]
11 Nov 2015, 6:23 am
By Lene Powell, J.D.As the CFTC mulls an upcoming proposal on automated trading, the agency is considering what controls are needed to safeguard against market disruptions rather than any change to the speed of trading itself, said CFTC Chairman Timothy Massad. [read post]
5 Aug 2021, 9:07 am
By Lene Powell, J.D.At five months before the slated end of the LIBOR benchmark rate, the Alternative Reference Rates Committee (ARRC) announced it is formally recommending CME Group’s forward-looking Secured Overnight Financing Rate (SOFR) term rates (SOFR Term Rates). [read post]
10 Oct 2016, 9:05 am
By Lene Powell, J.D.The heads of the CFTC and U.K. [read post]
21 Sep 2015, 4:43 am
By Lene Powell, J.D.The CFTC ordered an Australia-based financial services company to pay a $150,000 penalty for failing to submit accurate large trader reports for physical commodity swap positions in violation of Section 4s(f) of the Commodity Exchange Act (CEA) and CFTC Regulations 20.4 and 20.7. [read post]
12 Oct 2023, 9:34 am
By Lene Powell, J.D.In a court challenge by the U.S. [read post]
16 Sep 2014, 7:33 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.A CFTC-registered swap execution facility (SEF) has launched the first regulated platform for bitcoin derivatives, as well as a bitcoin price index. [read post]
26 Mar 2018, 7:18 am
By Lene Powell, J.D. [read post]
21 May 2019, 10:08 am
By Lene Powell, J.D. [read post]
26 Jan 2017, 5:00 am
By Lene Powell, J.D.In an open letter to President Trump and key congressional and regulatory leaders, FIA president and CEO Walt Lukken urged a “wholesale review” of all financial reform regulation and the Dodd-Frank Act. [read post]
28 Oct 2019, 7:12 am
By Lene Powell, J.D.The SEC has issued proposed rule amendments designed to make filing fee systems more efficient. [read post]
13 Feb 2020, 6:51 am
By Lene Powell, J.D.The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published a new strategy describing how ESMA will place sustainability at the core of its activities by embedding Environmental, Social, and Governance (ESG) factors in its work. [read post]
2 Nov 2018, 7:47 am
By Lene Powell, J.D. [read post]
6 Jun 2016, 7:17 am
By Lene Powell, J.D.The CFTC will reopen the comment period for proposed Regulation Automated Trading (AT) for two weeks following a public roundtable on June 10. [read post]
