Search for: "Lene Powell"
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2 Nov 2018, 7:47 am
By Lene Powell, J.D. [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]
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]
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]
19 Jul 2018, 7:19 am
By Lene Powell, J.D. [read post]
22 Jun 2023, 5:50 am
By Lene Powell, J.D.The Third Circuit gave the SEC a breather in a closely watched lawsuit related to crypto assets, ordering the SEC to update the court on October 11 on how it is handling Coinbase’s petition for rulemaking on crypto assets. [read post]
21 May 2019, 10:08 am
By Lene Powell, J.D. [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]
17 Nov 2023, 5:54 am
By Lene Powell, J.D.Institutional investors representing over $10 trillion in assets under management or advice called on the 50 largest stock-listed chemical companies to phase out PFAS chemicals, citing a “flood” of litigation, insurance risks, and costs running into the hundreds of billions. [read post]
30 Aug 2017, 6:59 am
By Lene Powell, J.D.An action filed in the Southern District of New York alleges that 27 banks have conspired since 2007 to fix and manipulate the markets for U.S. [read post]
9 Feb 2024, 5:25 am
By Lene Powell, J.D.In a new court filing, ExxonMobil argues the withdrawal of a shareholder proposal on greenhouse gas emissions does not moot its claim for declaratory relief. [read post]
1 Oct 2021, 7:54 am
By Lene Powell, J.D.A Ninth Circuit panel upheld a lifetime trading ban for an individual who fraudulently solicited funds from investors and made false statements to a regulatory authority. [read post]
17 Jan 2023, 5:00 am
By Lene Powell, J.D.Providing possible new fuel for securities fraud lawsuits, a new study published in Science found that Exxon’s internal projections on climate change accurately forecast warming consistent with subsequent observations. [read post]
16 Nov 2016, 5:00 am
By Lene Powell, J.D.In remarks before CME Global Financial Leadership Conference, CFTC Chairman Timothy Massad said he does not expect a wholesale repeal of the Dodd-Frank Act in the next administration, though this is being cited as a priority of the Trump administration. [read post]
21 Jun 2017, 8:27 am
By Lene Powell, J.D.The CFTC Inspector General (OIG) concluded that the CFTC did not analyze possible costs and benefits in enough detail in considering a 2015 rule establishing margin requirements for uncleared swaps. [read post]
13 Dec 2022, 5:15 am
By Lene Powell, J.D.Watchdog group Better Markets has filed a complaint asking the CFTC Inspector General to investigate Commissioner Caroline Pham for “possible ethics violations and misuse of her position. [read post]
13 Apr 2018, 5:00 am
By Lene Powell, J.D. [read post]
7 Dec 2017, 7:51 am
By Lene Powell, J.D.Heading off possible fragmentation of E.U. and U.S. derivatives markets, the European Commission announced that it will recognize CFTC-authorized Designated Contract Markets (DCMs) and Swap Execution Facilities (SEFs) as eligible for compliance with EU derivatives trading requirements under MiFID II/MIFIR. [read post]
6 Jan 2016, 8:20 am
By Lene Powell, J.D.In the guise of a comment letter on a BATS proposal to strengthen its authority to combat disruptive trading, a commenter pretending to represent a fictional proprietary trading firm pilloried SEC Investor Advocate Rick Fleming on the subject of high-frequency trading. [read post]
24 Apr 2018, 5:00 am
By Lene Powell, J.D. [read post]
