Search for: "Lene Powell"
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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]
25 Aug 2021, 6:16 am
By Lene Powell, J.D.In a strongly worded statement, CFTC Commissioner Dawn Stump called out what she sees as a growing misunderstanding of the CFTC’s jurisdiction over digital assets. [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]
3 Sep 2014, 11:37 am
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In a conflict over whether derivatives clearinghouses may require swap data reporting to their own captive swap data repositories, the CFTC said it properly approved a CME Group rule that set forth such a requirement, and that rival depository DTCC’s assertion that the CFTC’s approval of the CME rule was “arbitrary and capricious” was wrong (DTCC Data Repository (U.S.) [read post]
20 Mar 2018, 6:55 am
By Lene Powell, J.D. [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]
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]
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]
25 Jul 2019, 7:12 am
By Lene Powell, J.D. [read post]
28 Jun 2017, 7:11 am
By Lene Powell, J.D.In a hearing of the capital markets subcommittee of the House Financial Services Committee, lawmakers heard from securities exchanges, market makers, and brokerages in a broad exploration of equity market structure issues including data feeds and broker rebates, among other topics.SIP vs. proprietary feeds. [read post]
29 Mar 2022, 8:14 am
By Lene Powell, J.D.Driven partly by concern about events in the U.S. [read post]
6 May 2019, 6:23 am
By Lene Powell, J.D. [read post]
20 Jul 2015, 7:12 am
By Lene Powell, J.D.Senator Elizabeth Warren (D-Mass) and Rep. [read post]
19 Oct 2015, 5:00 am
By Lene Powell, J.D.A group of commodity customers asked the Supreme Court to decide whether their professional negligence claims against PricewaterhouseCoopers (PwC) were improperly barred on the basis of in pari delicto, as the Second Circuit ruled. [read post]
12 Feb 2019, 6:05 am
By Lene Powell, J.D. [read post]
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]
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]
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]
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]
7 Jun 2017, 8:35 am
By Lene Powell, J.D.In a letter to the Vice President of the European Commission, the derivatives association FIA strongly cautioned against possible Commission plans to require relocation of euro-denominated derivatives clearing to the E.U., saying this would reduce liquidity and increase systemic risk. [read post]
