Search for: "Lene Powell"
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12 Aug 2021, 9:59 am
By Lene Powell, J.D.A new analysis by Watchdog Research shows a spike in 2021 of SPACs breaking bad news in amended 10-K filings, rather than using 8-Ks and other traditional methods. [read post]
10 Aug 2021, 9:12 am
By Lene Powell, J.D.The SEC’s approval of a new Nasdaq rule on board diversity is drawing support and opposition along party lines, reflecting a 3-2 split in the Commission itself. [read post]
6 Aug 2021, 7:16 am
By Lene Powell, J.D.Following SEC Chair Gary Gensler’s announcement that staff is preparing potential revisions to whistleblower rules adopted last year, the Commission announced new interim procedures for reviewing whistleblower applications. [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]
22 Jul 2021, 6:13 am
By Lene Powell, J.D.In keynote remarks at the ABA Virtual Derivatives and Futures Law Committee Mid-Year Program, SEC Chairman Gensler discussed potential rulemaking for increased reporting of security-based swaps that were implicated in the startling meltdown of Archegos Capital in March, which caused serious fallout for several banks. [read post]
15 Jul 2021, 7:42 am
By Lene Powell, J.D.Accelerating momentum to get market participants to switch from the LIBOR benchmark rate to an alternative reference rate, the CFTC Market Risk Advisory Committee (MRAC) adopted the "SOFR First" initiative as a market best practice. [read post]
8 Jul 2021, 6:25 am
By Lene Powell, J.D.SEC Commissioner Hester Peirce has weighed in on an IFRS proposal to create a new International Sustainability Standards Board (ISSB), finding deep flaws with the idea of a new board to oversee globally aligned sustainability reporting standards. [read post]
2 Jul 2021, 8:49 am
By Lene Powell, J.D.Citing a significant increase in retail investor interest in derivatives trading as well as widespread evidence of misconception and misunderstanding among retail traders, CFTC Commissioner Dawn Stump called on industry and infrastructure providers to "step up and educate the public about our markets. [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 Jun 2021, 6:46 am
By Lene Powell, J.D.The SEC and CFTC have released their Spring 2021 agendas, providing insight into the agencies’ rulemaking priorities in the months to come. [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]
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]
Senator Kennedy introduces bill to require SPACs to better explain sponsor compensation to investors
5 May 2021, 8:24 am
By Lene Powell, J.D.As the spike in SPAC offerings continues, a new bill introduced by Sen. [read post]
12 Apr 2021, 9:29 am
By Lene Powell, J.D.The Ninth Circuit upheld the dismissal of a fraud action against an investment bank, finding a lack of scienter. [read post]
8 Apr 2021, 5:56 am
By Lene Powell, J.D.It might one day be possible to trade futures contracts based on aspects of NFL games. [read post]
5 Apr 2021, 6:13 am
By Lene Powell, J.D.In the wake of the spectacular collapse of Archegos Capital Management, CFTC Commissioner Dan Berkovitz urged the commission to revisit regulatory requirements for family investment offices, warning that a recent regulatory rollback hampers the agency’s ability to protect the integrity of the commodity markets. [read post]
29 Mar 2021, 7:39 am
By Lene Powell, J.D.The Northern District of California dismissed an investor class action suit alleging that a cybersecurity company made misleading statements and failed to disclose damaging adverse facts in order to conceal financial struggles. [read post]
19 Mar 2021, 9:37 am
By Lene Powell, J.D.Criticizing a "disproportionate focus on illicit uses" of cryptocurrency and digital assets, SEC Commissioner Hester Peirce drew attention to crypto’s ability to protect people from harm by family or repressive governments. [read post]
8 Feb 2021, 7:46 am
By Lene Powell, J.D.Emphasizing the importance of international regulatory coordination for the U.S. financial recovery, SIFMA has given the Biden administration a list of priorities for its cross-border financial services agenda. [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]
