Search for: "Lene Powell"
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4 Dec 2018, 7:00 am
By Lene Powell, J.D.Calling the conclusions of a CFTC expert witness “absurd,” “near religious,” and “circular,” the Southern District of New York dismissed the CFTC’s market manipulation case against proprietary trading firm DRW and its founder, Don Wilson. [read post]
15 May 2019, 7:12 am
By Lene Powell, J.D. [read post]
28 Apr 2022, 5:57 am
By Lene Powell, J.D.In remarks at City Week, SEC Chair Gary Gensler outlined targeted initiatives to improve transparency, resiliency, integrity, and access in fixed-income markets. [read post]
27 Oct 2022, 5:39 am
By Lene Powell, J.D.The SEC adopted rule amendments to improve open-end mutual fund and ETF shareholder reports. [read post]
3 May 2017, 5:00 am
By Lene Powell, J.D.The CFTC received a variety of comments on its revised proposal to regulate automated trading in the commodities and derivatives markets. [read post]
23 Dec 2015, 8:08 am
By Lene Powell, J.D.In an issue of first impression, an Illinois federal district court ruled that a Commodity Exchange Act provision on the use of a “manipulative or deceptive device” specifically prohibits fraudulent manipulation and must meet heightened pleading requirements for fraud allegations. [read post]
23 Oct 2014, 1:21 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D. [read post]
9 Jul 2020, 10:23 am
By Lene Powell, J.D.In recent remarks, SEC Commissioner Elad Roisman cautioned against imposing new mandates for public companies to disclose specific environmental, social, and governance (ESG) information. [read post]
27 Apr 2023, 6:19 am
By Lene Powell, J.D.Coinbase, Inc., a major cryptocurrency trading platform, has brought an action asking the Third Circuit to require the SEC to act on Coinbase’s petition for rulemaking on digital assets. [read post]
1 Sep 2021, 12:29 pm
By Lene Powell, J.D.The SEC Investor Advisory Committee has released two draft recommendations scheduled to be considered at its September 9 meeting. [read post]
17 Dec 2021, 6:37 am
By Lene Powell, J.D.At long last, Rostin Behnam has been confirmed by the Senate as the permanent chairman of the CFTC. [read post]
28 Aug 2017, 5:00 am
By Lene Powell, J.D.Companies and individuals debating whether to self-report wrongdoing to the CFTC should know that they can get a significant reduction in their penalty for doing so, said CFTC Enforcement Director James McDonald. [read post]
25 Oct 2016, 9:14 am
By Lene Powell, J.D.In remarks at the second annual conference of “The Evolving Structure of the U.S. [read post]
26 Sep 2019, 6:51 am
By Lene Powell, J.D. [read post]
7 Nov 2023, 9:54 am
By Lene Powell, J.D.A new BlackRock report discovered significant financial benefits for companies with robust gender diversity. [read post]
9 Nov 2023, 8:00 am
By Lene Powell, J.D.In a new filing, the SEC defended its enforcement action against crypto giant Binance, outlining fundamental registration failures and a secret scheme to evade the law. [read post]
12 Mar 2015, 6:56 am
By Lene Powell, J.D.Former Senator Saxby Chambliss warned a futures industry conference that “nobody is immune” from cyberattacks, however big or small the firm, and that the enemy is very sophisticated. [read post]
12 Feb 2019, 6:05 am
By Lene Powell, J.D. [read post]
25 Sep 2014, 5:45 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.CFTC guidance on the cross-border application of Dodd-Frank swaps regulation has fragmented global swaps markets and risks a trade war over swaps market clearing and execution, said CFTC Commissioner J. [read post]
27 Jul 2023, 9:11 am
By Lene Powell, J.D.The SEC issued two rulemaking proposals at an open meeting on Wednesday, July 26. [read post]
