Search for: "Lene Powell"
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14 Jun 2023, 8:38 am
By Lene Powell, J.D.On June 15, the SEC, North American Securities Administrators Association (NASAA) and FINRA will cohost a webinar on the financial exploitation of senior citizens and other vulnerable adults. [read post]
16 Dec 2022, 8:04 am
By Lene Powell, J.D.Financial systems are built on trust and need strong enforcement to keep that trust. [read post]
16 Jan 2018, 5:00 am
By Lene Powell, J.D.Mandelbaum Salsburg has added a new Securities Law Practice Group. [read post]
15 May 2024, 5:58 am
By Lene Powell, J.D.To boost efforts against money laundering and terrorist financing, the SEC and FinCEN jointly proposed a new rule requiring certain investment advisers to have customer identification programs (CIPs). [read post]
11 Nov 2015, 6:23 am
By Lene Powell, J.D.As the CFTC mulls an upcoming proposal on automated trading, the agency is considering what controls are needed to safeguard against market disruptions rather than any change to the speed of trading itself, said CFTC Chairman Timothy Massad. [read post]
10 Oct 2016, 9:05 am
By Lene Powell, J.D.The heads of the CFTC and U.K. [read post]
26 Mar 2018, 7:18 am
By Lene Powell, J.D. [read post]
24 Sep 2018, 7:03 am
By Lene Powell, J.D. [read post]
10 May 2021, 11:16 am
By Lene Powell, J.D. and Brad Rosen, J.D.While the Biden Administration has come flying out of the gate on multiple fronts during its first 100 days—public health, the economy, climate change, and infrastructure among other areas, it has largely ignored the Commodity Futures Trading Commission, the independent agency that regulates the nation’s futures and derivatives markets. [read post]
12 Oct 2023, 9:34 am
By Lene Powell, J.D.In a court challenge by the U.S. [read post]
21 Sep 2015, 4:43 am
By Lene Powell, J.D.The CFTC ordered an Australia-based financial services company to pay a $150,000 penalty for failing to submit accurate large trader reports for physical commodity swap positions in violation of Section 4s(f) of the Commodity Exchange Act (CEA) and CFTC Regulations 20.4 and 20.7. [read post]
5 Aug 2021, 9:07 am
By Lene Powell, J.D.At five months before the slated end of the LIBOR benchmark rate, the Alternative Reference Rates Committee (ARRC) announced it is formally recommending CME Group’s forward-looking Secured Overnight Financing Rate (SOFR) term rates (SOFR Term Rates). [read post]
17 Jun 2021, 7:32 am
By Lene Powell, J.D.Joining the Senate to head off a potential funding shortfall in the CFTC whistleblower program, the House Agriculture Committee approved a committee print to shore up funding for the program’s administrative expenses as well as customer education initiatives.Approved by voice vote, the committee print mirrors legislation passed by the Senate earlier this month (S. 409). [read post]
16 Sep 2014, 7:33 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.A CFTC-registered swap execution facility (SEF) has launched the first regulated platform for bitcoin derivatives, as well as a bitcoin price index. [read post]
29 Jun 2023, 9:06 am
By Lene Powell, J.D.A federal district court declined to remind the SEC of ethical obligations in connection with statements in an SEC press release. [read post]
6 Apr 2020, 8:42 pm
By Lene Powell, J.D. [read post]
13 Feb 2020, 6:51 am
By Lene Powell, J.D.The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published a new strategy describing how ESMA will place sustainability at the core of its activities by embedding Environmental, Social, and Governance (ESG) factors in its work. [read post]
28 Oct 2019, 7:12 am
By Lene Powell, J.D.The SEC has issued proposed rule amendments designed to make filing fee systems more efficient. [read post]
2 Sep 2016, 7:26 am
By Lene Powell, J.D.CFTC Commissioner J. [read post]
10 Apr 2019, 5:00 am
By Lene Powell, J.D. [read post]
