Search for: "Lene Powell"
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19 Aug 2021, 5:00 am
By Lene Powell, J.D.Over an incredible career spanning 50 years, Mr. [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]
16 Aug 2023, 4:35 am
By Lene Powell, J.D.In defending against an SEC enforcement action for alleged registration violations, Coinbase received support from two recently filed amicus briefs on SEC crypto asset regulation and enforcement. [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]
DOJ issues guidance on individual accountability, prior corporate misconduct, and corporate monitors
2 Nov 2021, 6:41 am
By Lene Powell, J.D.Holding individuals accountable for white collar crime is the “first priority” for the DOJ, said Deputy Attorney General Lisa O. [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]
16 Aug 2018, 7:42 am
By Lene Powell, J.D. [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]
12 Apr 2021, 9:29 am
By Lene Powell, J.D.The Ninth Circuit upheld the dismissal of a fraud action against an investment bank, finding a lack of scienter. [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]
15 Mar 2022, 10:35 am
By Lene Powell, J.D.A new analysis of FINRA disciplinary actions by Eversheds Sutherland shows a 60 percent increase in overall fines by FINRA in 2021, largely driven by a record-setting $57 million fine for Robinhood Financial. [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]
2 Aug 2014, 8:34 am
By Lene Powell, J.D.Are opinions ever the stuff of Section 11 liability? [read post]
15 Mar 2019, 5:00 am
By Lene Powell, J.D. [read post]
18 Nov 2022, 6:51 am
By Lene Powell, J.D.Large parts of the digital asset market may be operating outside of the federal securities laws, SEC Commissioner Jaime Lizárraga said in remarks at Brooklyn Law School. [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]
