Search for: "Lene Powell"
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20 Jul 2015, 7:12 am
By Lene Powell, J.D.Senator Elizabeth Warren (D-Mass) and Rep. [read post]
19 Oct 2015, 5:00 am
By Lene Powell, J.D.A group of commodity customers asked the Supreme Court to decide whether their professional negligence claims against PricewaterhouseCoopers (PwC) were improperly barred on the basis of in pari delicto, as the Second Circuit ruled. [read post]
12 Feb 2019, 6:05 am
By Lene Powell, J.D. [read post]
4 Dec 2018, 7:00 am
By Lene Powell, J.D.Calling the conclusions of a CFTC expert witness “absurd,” “near religious,” and “circular,” the Southern District of New York dismissed the CFTC’s market manipulation case against proprietary trading firm DRW and its founder, Don Wilson. [read post]
27 Jul 2022, 7:04 am
By Lene Powell, J.D.The SEC announced insider charges against nine individuals in connection with three separate alleged schemes, including a former chief information security officer (CISO), an investment banker, and a former FBI trainee. [read post]
9 Jul 2020, 10:23 am
By Lene Powell, J.D.In recent remarks, SEC Commissioner Elad Roisman cautioned against imposing new mandates for public companies to disclose specific environmental, social, and governance (ESG) information. [read post]
28 Aug 2017, 5:00 am
By Lene Powell, J.D.Companies and individuals debating whether to self-report wrongdoing to the CFTC should know that they can get a significant reduction in their penalty for doing so, said CFTC Enforcement Director James McDonald. [read post]
7 Jun 2017, 8:35 am
By Lene Powell, J.D.In a letter to the Vice President of the European Commission, the derivatives association FIA strongly cautioned against possible Commission plans to require relocation of euro-denominated derivatives clearing to the E.U., saying this would reduce liquidity and increase systemic risk. [read post]
27 Jul 2023, 9:11 am
By Lene Powell, J.D.The SEC issued two rulemaking proposals at an open meeting on Wednesday, July 26. [read post]
3 Aug 2022, 6:51 am
By Lene Powell, J.D.Estimates by a medical company about the number of nerve injuries and surgeries occurring “each year” were forward-looking statements protected by the PSLRA safe harbor, a three-judge panel of the Eleventh Circuit ruled. [read post]
27 Apr 2018, 6:03 am
By Lene Powell, J.D. [read post]
31 Aug 2015, 8:34 am
By Lene Powell, J.D.The European Securities and Markets Authority (ESMA) is seeking feedback on a new consultation paper addressing the amount of margin required to be collected by clearinghouses. [read post]
14 Oct 2019, 8:22 am
By Lene Powell, J.D. [read post]
Commissioner Quintenz warns “grim” budget situation threatens CFTC functioning, may cause staff cuts
10 May 2018, 7:03 am
By Lene Powell, J.D. [read post]
10 Aug 2021, 9:12 am
By Lene Powell, J.D.The SEC’s approval of a new Nasdaq rule on board diversity is drawing support and opposition along party lines, reflecting a 3-2 split in the Commission itself. [read post]
12 Aug 2021, 9:59 am
By Lene Powell, J.D.A new analysis by Watchdog Research shows a spike in 2021 of SPACs breaking bad news in amended 10-K filings, rather than using 8-Ks and other traditional methods. [read post]
1 Sep 2022, 6:17 am
By Lene Powell, J.D.A House Oversight subcommittee chair has requested information from four federal financial regulators and five digital assets organizations about their efforts to combat fraud. [read post]
15 May 2019, 7:12 am
By Lene Powell, J.D. [read post]
15 Feb 2017, 6:45 am
By Lene Powell, J.D.Rapid technological change and structural economic problems, including massive manufacturing job losses, are causing many Americans to feel they’re not getting a fair deal, said CFTC Commissioner Sharon Bowen in recent remarks at Northwestern University. [read post]
28 Oct 2015, 5:30 am
By Lene Powell, J.D.A combination of rules in the U.S. and abroad are, when taken together, depriving financial markets of critical liquidity in times of market stress, warned CFTC Commissioner J. [read post]
