Search for: "Lene Powell"
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7 Nov 2014, 8:55 am
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D. [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]
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]
11 Jul 2023, 9:14 am
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]
19 Aug 2021, 5:00 am
By Lene Powell, J.D.Over an incredible career spanning 50 years, Mr. [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]
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]
28 Oct 2021, 6:33 am
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 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 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 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 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
[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]
18 Jan 2024, 6:38 am
By Lene Powell, J.D.The U.S. [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]
15 Apr 2024, 7:25 am
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]
24 May 2022, 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]
1 Apr 2019, 5:00 am
By Lene Powell, J.D. [read post]
