Search for: "Lene Powell" Results 201 - 220 of 262
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23 Oct 2017, 8:06 am by John Jascob
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]
29 Sep 2021, 6:19 am by John Jascob
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]
11 Jul 2023, 9:14 am by Unknown
By Lene Powell, J.D.Crypto asset trading platform Bittrex moved to dismiss an SEC enforcement action against it, arguing the SEC has failed to support critical elements of its claims. [read post]
13 Jul 2020, 5:00 am by John Jascob
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]
15 Mar 2022, 10:35 am by John Jascob
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]
28 Oct 2021, 6:33 am by John Jascob
By Lene Powell, J.D.The effects of climate change on financial markets took center stage at a hearing of the Senate Agriculture Committee on the confirmation of Rostin Behnam for CFTC Chair. [read post]
1 Jun 2021, 8:52 am by John Jascob
By Lene Powell, J.D.A House Financial Services subcommittee examined the impact of the recent boom of Special Purpose Acquisition Companies (SPACs) on capital formation and investor protection. [read post]
14 Sep 2021, 11:07 am by John Jascob
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]
4 Jan 2023, 6:09 am by Unknown
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]
17 Mar 2022, 10:15 am by John Jascob
By Lene Powell, J.D.CFTC Chair Rostin Behnam repeated a call for new legislative authority for the CFTC to develop a regulatory framework for the cash digital asset commodity markets, saying growing risks in these markets require a proactive federal regulatory approach. [read post]
28 Oct 2014, 2:17 pm by John Jascob
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.The Delaware Chancery court dismissed a shareholder challenge to the merger of two oil and gas companies, finding that entire fairness review was not triggered because an investment firm that controlled a third of the acquired company’s stock was probably not a controlling stockholder, and even if it were, had not engaged in a conflicting transaction. [read post]
15 Apr 2024, 7:25 am by Unknown
By Lene Powell, J.D.In a unanimous opinion, the Supreme Court ruled that absent a misleading statement, pure omissions are not actionable as securities fraud under Rule 10b–5(b). [read post]
18 Nov 2022, 6:51 am by Unknown
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]