Search for: "Lene Powell"
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29 Sep 2021, 6:19 am
By Lene Powell, J.D.Experts involved in helping companies go public via SPAC IPOs provided an outlook on the current SPAC landscape at a recent securities law conference. [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]
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]
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]
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]
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]
31 Jan 2019, 5:00 am
By Lene Powell, J.D.Stressing a need to correct CFTC overreach in cross-border regulation, Chairman J. [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]
24 Nov 2021, 7:51 am
By Lene Powell, J.D.The Council for Institutional Investors (CII) has filed an amicus brief in one of three high-profile lawsuits on behalf of a SPAC investor brought by former SEC Commissioner Robert Jackson, Jr. [read post]
18 Dec 2018, 6:42 am
By Lene Powell, J.D. [read post]
30 Dec 2014, 12:03 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In an action by a group of pension funds against the Bank of New York Mellon over the poor performance of residential mortgage-backed securities (RMBS) following the 2008 financial crisis, the Second Circuit held that the pension funds lacked standing to assert claims related to RMBS trusts in which they did not invest, because different concerns were implicated for the two sets of trusts. [read post]
24 May 2022, 5:00 am
By Lene Powell, J.D. [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]
4 Jan 2023, 6:09 am
By Lene Powell, J.D.An attorney employed by Morgan Stanley subsidiaries in Japan and Hong Kong had no recourse under Section 806 of the Sarbanes-Oxley Act (SOX) for alleged whistleblower retaliation after he raised concerns about possible securities law violations. [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]
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]
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]
16 Aug 2018, 7:42 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]
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]
