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2 Apr 2015, 6:49 am
By Lene Powell, J.D. [read post]
23 Oct 2014, 1:21 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D. [read post]
1 Nov 2021, 3:43 pm
By Lene Powell, J.D.The CFTC Whistleblower Office released its annual report for FY 2021, revealing a somewhat lower-than-average total of over $3 million in awards, compared to $15 million in FY 2019 and $20 million in FY 2020. [read post]
14 Nov 2017, 5:00 am
By Lene Powell, J.D.International bribery used to be commonplace in competing for overseas contracts. [read post]
11 Feb 2015, 7:32 am
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.A New York-based investment fund sued a group of major banks in a putative class action, alleging that they conspired to restrain trade in and manipulate the Swiss franc London Inter-bank Offered Rate (LIBOR), from 2005 through at least 2009. [read post]
25 Oct 2016, 9:14 am
By Lene Powell, J.D.In remarks at the second annual conference of “The Evolving Structure of the U.S. [read post]
27 Jul 2018, 9:15 am
By Lene Powell, J.D. [read post]
31 May 2012, 9:53 am
NFA has submitted the proposed financial requirements and accompanying interpretive notice to the CFTC for approval.This post was contributed by my colleague Lene Powell. [read post]
3 Dec 2011, 8:46 am
According to the notice, as the Commission gains further experience regarding the swaps market and market participants, it may reevaluate the scope of the contracts covered by the rule, including the definition of economically equivalent contracts.This post was contributed by my colleague Lene Powell [read post]
22 Nov 2021, 6:50 am
By Lene Powell, J.D.A new report by Institutional Shareholder Services (ISS) finds an accelerating upward trend in the number of U.S. companies using environmental and social (E&S) metrics in executive compensation programs. [read post]
3 Jul 2018, 6:00 am
By Lene Powell, J.D. [read post]
29 Jul 2022, 8:20 am
By Lene Powell, J.D.In a letter to SEC Chair Gary Gensler, Senate Banking Committee Ranking Member Pat Toomey (R-Pa) slammed a “continued unwillingness by the SEC to give regulatory clarity to the cryptocurrency community and consumers. [read post]
8 Jul 2021, 6:25 am
By Lene Powell, J.D.SEC Commissioner Hester Peirce has weighed in on an IFRS proposal to create a new International Sustainability Standards Board (ISSB), finding deep flaws with the idea of a new board to oversee globally aligned sustainability reporting standards. [read post]
12 Jul 2016, 5:00 am
By Lene Powell, J.D.In a Practising Law Institute program, a panel of SEC, CFTC, and DOJ enforcement officials discussed the impact of the Second Circuit’s decision in U.S. v. [read post]
2 May 2016, 7:15 am
By Lene Powell, J.D.In a discussion panel hosted by the Practising Law Institute, enforcement officials from the CFTC, SEC, Department of Justice, and other agencies talked about new types of cases their agencies are bringing in the commodities and derivatives space under the Dodd-Frank Act, as well as the issue of individual versus corporate liability.Commodities insider trading. [read post]
13 Nov 2019, 6:24 am
By Lene Powell, J.D.In a panel of the Investor Advisory Committee, speakers spiritedly discussed a recent Concept Release on securities offering reform that raises issues for capital formation, investor protection and market integrity.Concept Release. [read post]
2 Jul 2021, 8:49 am
By Lene Powell, J.D.Citing a significant increase in retail investor interest in derivatives trading as well as widespread evidence of misconception and misunderstanding among retail traders, CFTC Commissioner Dawn Stump called on industry and infrastructure providers to "step up and educate the public about our markets. [read post]
9 Aug 2016, 6:30 am
By Lene Powell, J.D.Plaintiffs in a private action alleging commodity price manipulation and antitrust violations by Kraft Foods urged a federal district court to reject Kraft’s request to certify three questions for interlocutory appeal. [read post]
16 Nov 2021, 6:08 am
By Lene Powell, J.D.In an opinion letter to the Delaware Court of Chancery, the SEC informed the court that although reverse mergers are not per se illegal under federal securities laws, they raise significant investor protection and market manipulation concerns. [read post]
8 Apr 2021, 5:56 am
By Lene Powell, J.D.It might one day be possible to trade futures contracts based on aspects of NFL games. [read post]
