Search for: "Lene Powell"
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21 Nov 2014, 12:45 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.CFTC Commissioner Sharon Bowen put out a call for comment on the composition and priorities of a new committee looking at market risk, as well as nominations for committee members.The newly established Market Risk Advisory Committee (MRAC) will examine matters of public concern to clearinghouses, exchanges, intermediaries, market makers, end-users, and the Commission relating to systemic issues that… [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]
27 Dec 2017, 6:47 am
By Lene Powell, J.D.The SEC is seeking comment on proposed amendments to Freedom of Information Act (FOIA) regulations. [read post]
8 Jul 2015, 2:48 pm
By Lene Powell, J.D.The New York Stock Exchange (NYSE and NYSE MKT) today suspended trading across all symbols for more than three hours, between 11:32 am and 3:10 pm ET. [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]
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]
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]
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]
26 Mar 2018, 7:18 am
By Lene Powell, J.D. [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]
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]
12 Oct 2023, 9:34 am
By Lene Powell, J.D.In a court challenge by the U.S. [read post]
24 Sep 2018, 7:03 am
By Lene Powell, J.D. [read post]
2 Sep 2016, 7:26 am
By Lene Powell, J.D.CFTC Commissioner J. [read post]
8 Feb 2023, 6:29 am
By Lene Powell, J.D.Citing BlackRock as “a well-known adversary of energy businesses,” Oklahoma State Treasurer Todd Russ sent a letter and questionnaire to national financial institutions, including fund managers and banks, requesting information about their activities around a possible “boycott” of energy companies in Oklahoma.According to Russ, the move is the first step in compiling a list of companies that Oklahoma government entities are prohibited… [read post]
6 Jun 2016, 7:17 am
By Lene Powell, J.D.The CFTC will reopen the comment period for proposed Regulation Automated Trading (AT) for two weeks following a public roundtable on June 10. [read post]
28 Jul 2016, 5:00 am
By Lene Powell, J.D.The CFTC proposed to expand an exemption from registration for certain foreign intermediaries. [read post]
26 Jan 2017, 5:00 am
By Lene Powell, J.D.In an open letter to President Trump and key congressional and regulatory leaders, FIA president and CEO Walt Lukken urged a “wholesale review” of all financial reform regulation and the Dodd-Frank Act. [read post]
