Search for: "Lene Powell"
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23 Nov 2015, 9:03 am
By Lene Powell, J.D.The Delaware Court of Chancery dismissed an action alleging that a company director breached his fiduciary duty in a merger, ruling that although the statute of limitations had not expired, the action was barred by laches as a matter of equity. [read post]
20 Jul 2015, 7:12 am
By Lene Powell, J.D.Senator Elizabeth Warren (D-Mass) and Rep. [read post]
5 Aug 2015, 7:27 am
By Lene Powell, J.D.Adding certainty to the status of event prediction contracts under federal commodities law, the D.C. federal district court handed the CFTC a win in its enforcement action against two Irish companies that operated an online event predictions market, ruling that the contracts offered by Intrade.com were commodity options within the CFTC’s jurisdiction and that one company had violated a 2005 CFTC administrative order prohibiting it from accepting orders… [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]
15 Jun 2020, 9:26 am
By Lene Powell, J.D.The CFTC should consider clarifying the scope of fiduciary duties that commodity trading advisors (CTAs) and other asset managers owe to their customers, CFTC Commissioner Dan Berkovitz urged in a Commission opinion. [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]
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]
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]
23 Oct 2014, 1:21 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D. [read post]
1 Nov 2021, 3:43 pm
By Lene Powell, J.D.The CFTC Whistleblower Office released its annual report for FY 2021, revealing a somewhat lower-than-average total of over $3 million in awards, compared to $15 million in FY 2019 and $20 million in FY 2020. [read post]
31 Aug 2021, 8:37 am
By Lene Powell, J.D.Raising the stakes in an already highly contentious set of lawsuits, 49 top law firms have issued a joint statement that they believe special purpose acquisition companies (SPACs) are not investment companies under the Investment Company Act of 1940 (ICA), so long as two commonplace conditions are met. [read post]
12 Mar 2024, 6:28 am
By Lene Powell, J.D.The SEC Investor Advisory Committee (IAC) adopted a recommendation for the SEC to scale back proposed rules on digital engagement practices. [read post]
27 Jul 2022, 7:04 am
By Lene Powell, J.D.The SEC announced insider charges against nine individuals in connection with three separate alleged schemes, including a former chief information security officer (CISO), an investment banker, and a former FBI trainee. [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]
28 Oct 2015, 5:30 am
By Lene Powell, J.D.A combination of rules in the U.S. and abroad are, when taken together, depriving financial markets of critical liquidity in times of market stress, warned CFTC Commissioner J. [read post]
3 Jan 2024, 8:21 am
By Lene Powell, J.D.Crypto firm Terraform Labs and its founder Do Kwon sold unregistered securities, a federal district court ruled. [read post]
20 Apr 2020, 7:51 pm
By Lene Powell, J.D.An elderly, ailing prisoner serving time for securities fraud could not bypass administrative exhaustion requirements in attempting to avoid the risk of contracting the COVID-19 virus in the prison setting. [read post]
5 Apr 2022, 6:43 am
By Lene Powell, J.D.In a CFTC oversight hearing of the House Agriculture Committee, members returned repeatedly to the topic of 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]
11 May 2023, 5:22 am
By Lene Powell, J.D.The SEC is seeking to destroy the crypto industry, an industry association said in a strongly worded comment letter on the SEC’s recent proposal on safeguarding advisory client assets. [read post]
