Search for: "Lene Powell"
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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]
13 Apr 2018, 5:00 am
By Lene Powell, J.D. [read post]
18 Dec 2023, 5:36 am
By Lene Powell, J.D.The Commodity Futures Trading Commission has proposed amendments to CFTC regulations regarding real-time public reporting and swap data recordkeeping and reporting. [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]
8 Nov 2016, 5:00 am
By Lene Powell, J.D.SIFMA Asset Management Group (AMG) submitted a comment letter requesting relief relating to uncleared swaps margin requirements established by the CFTC and prudential regulators. [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]
13 Mar 2024, 8:56 am
By Lene Powell, J.D.The SEC is “pursuing a power grab” over the crypto industry by engaging in enforcement while foregoing rulemaking, crypto giant Coinbase told the Third Circuit. [read post]
5 Jan 2022, 6:08 am
By Lene Powell, J.D.In a new series of staff letters, the CFTC revised previous no-action relief to reflect guidance by the U.K. [read post]
19 Sep 2017, 8:03 am
By Lene Powell, J.D.To reduce cross-border regulatory conflict and duplication, the International Swaps and Derivatives Association, Inc. [read post]
2 Feb 2016, 8:42 am
By Lene Powell, J.D.The First Circuit dealt disappointment to both sides in a CFTC enforcement action, ruling that a federal district court correctly ruled that an individual had committed commodity pool fraud and failed to register as a commodity pool operator, but did not have to pay restitution. [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]
2 Feb 2021, 7:51 am
By Lene Powell, J.D.The SEC announced that John Coates will serve as Acting Director of the Division of Corporation Finance. [read post]
29 Apr 2015, 6:29 am
By Lene Powell, J.D.A panel of the Ninth Circuit affirmed the dismissal of a counterclaim alleging breach of fiduciary duty by directors of a California corporation with a Canadian parent company. [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]
14 Oct 2022, 7:09 am
By Lene Powell, J.D.SEC staff issued an FAQ stating that an investment adviser may consider factors relating to diversity, equity, and inclusion (DEI) in recommending other investment advisers to or selecting other advisers for its clients—if the use of such factors is consistent with a client’s objectives, the scope of the relationship, and the adviser’s disclosures.Commissioners Caroline Crenshaw and Jaime Lizárraga said the FAQ is a “step in the… [read post]
5 Apr 2018, 9:21 am
By Lene Powell, J.D. [read post]
22 Jul 2019, 6:32 am
By Lene Powell, J.D. [read post]
14 Dec 2018, 5:59 am
By Lene Powell, J.D.In a new Request for Information, the CFTC is requesting public feedback on the virtual currency Ether and the Ethereum network that produces it. [read post]
11 Mar 2016, 4:29 pm
By Lene Powell, J.D.A cooperative corporation and futures commission merchant (FCM) agreed to pay $1 million to settle CFTC charges relating to persistent errors in reporting corn and soybean futures positions, in violation of Regulation 19.01. [read post]
2 Nov 2023, 6:10 am
By Lene Powell, J.D.Senator Josh Hawley (R-Mo) has introduced a bill aiming to limit public corporations’ ability to influence elections. [read post]
