Search for: "Lene Powell"
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15 May 2019, 7:12 am
By Lene Powell, J.D. [read post]
8 Jul 2019, 7:32 am
By Lene Powell, J.D. [read post]
28 Jun 2017, 7:11 am
By Lene Powell, J.D.In a hearing of the capital markets subcommittee of the House Financial Services Committee, lawmakers heard from securities exchanges, market makers, and brokerages in a broad exploration of equity market structure issues including data feeds and broker rebates, among other topics.SIP vs. proprietary feeds. [read post]
5 Mar 2015, 6:37 am
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.One-size-fits all stock trading has disadvantaged small companies and led to a significant decline in the number of listed companies and IPOs since the late 1990s, said investment banker David Weild in a meeting of the SEC Advisory Committee on Small and Emerging Companies. [read post]
1 Nov 2023, 6:11 am
By Lene Powell, J.D.To prepare for a wide range of possible energy futures—from abundant renewable energy to continued substantial reliance on fossil fuels—regulators need to learn from industry experts and public interest groups and work with regulatory partners like the Federal Energy Regulatory Commission (FERC), said CFTC Commissioner Summer Mersinger in remarks at an energy conference. [read post]
3 Sep 2014, 11:37 am
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In a conflict over whether derivatives clearinghouses may require swap data reporting to their own captive swap data repositories, the CFTC said it properly approved a CME Group rule that set forth such a requirement, and that rival depository DTCC’s assertion that the CFTC’s approval of the CME rule was “arbitrary and capricious” was wrong (DTCC Data Repository (U.S.) [read post]
27 Jul 2018, 9:15 am
By Lene Powell, J.D. [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]
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]
23 Oct 2017, 8:06 am
By Lene Powell, J.D.Despite a chaotic legislative environment, tax reform has a good chance of passing, said a panel of government affairs experts at a derivatives industry conference sponsored by FIA. [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 Jul 2020, 5:00 am
By Lene Powell, J.D.At a recent SEC roundtable, panelists discussed issues that differing disclosure regimes in emerging markets may pose for investors. [read post]
'Shareholders at the gates’: Economist Luigi Zingales urges greater investor control of corporations
27 Aug 2020, 5:00 am
By Lene Powell, J.D.Should shareholders be allowed to vote on social issues via shareholder proposals? [read post]
28 Dec 2020, 7:45 am
By Lene Powell, J.D. [read post]
18 Dec 2017, 5:00 am
By Lene Powell, J.D.Despite perhaps fond hopes, the SEC’s Pay Ratio Disclosure rule remains in force and many companies will be dealing with it for the first time in the 2018 proxy season. [read post]
14 Sep 2021, 11:07 am
By Lene Powell, J.D.The Investor Advisory Committee heard input about digital engagement practices, or features of investment platforms that shape the user experience. [read post]
21 Nov 2019, 7:57 am
By Lene Powell, J.D.In a CNBC interview and opinion piece in Fortune magazine, CFTC Chairman Heath Tarbert made the case that the U.S. must remain a leader in fintech in order to ensure U.S. prosperity. [read post]
7 Nov 2014, 8:55 am
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D. [read post]
29 Mar 2019, 7:12 am
By Lene Powell, J.D. [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]
