Search for: "Lene Powell" Results 141 - 160 of 262
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
SEC Investor Advisory Committee debates securities offering reforms
13 Nov 2019, 6:24 am by John Jascob
By Lene Powell, J.D.In a panel of the Investor Advisory Committee, speakers spiritedly discussed a recent Concept Release on securities offering reform that raises issues for capital formation, investor protection and market integrity.Concept Release. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC proposes updates to filing fees systems
28 Oct 2019, 7:12 am by John Jascob
By Lene Powell, J.D.The SEC has issued proposed rule amendments designed to make filing fee systems more efficient. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NFA president touts global benefits of industry self-regulation
14 Oct 2019, 8:22 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
High-frequency trader was ‘insider’ for purposes of short-swing trading
26 Sep 2019, 6:51 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
FASB proposes guidance to ease transition in benchmark reforms
9 Sep 2019, 9:08 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Funds take nuanced approached to proxy voting, ICI study finds
1 Aug 2019, 8:26 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Industry groups urge SEC to harmonize with CFTC on security-based swaps
25 Jul 2019, 7:12 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CFTC provides guidance and no-action relief for FCM margin practices
22 Jul 2019, 6:32 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Brexit threatens to cause disruptions for clearinghouse supervision, industry warns
8 Jul 2019, 7:32 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Class action alleges Lyft misled investors in IPO
21 May 2019, 10:08 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC proposes amendments, guidance for cross-border security-based swaps
15 May 2019, 7:12 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC proposes to amend Reg S-X disclosures on acquisitions and disposition of businesses
6 May 2019, 6:23 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Commissioner Peirce fears that overuse of staff guidance creates “secret law”
10 Apr 2019, 5:00 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Spoofing or wire fraud? DOJ fires back at industry criticism of charging decision
1 Apr 2019, 5:00 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Securities regulators give updates at SIFMA panel
29 Mar 2019, 7:12 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Senate Agriculture Committee gives warm reception to nominee for CFTC Chairman
15 Mar 2019, 5:00 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Upcoming cryptocurrency guidance should cast Howey net narrowly, Commissioner Peirce urges
12 Feb 2019, 6:05 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Giancarlo emphasizes cross-border deference, delves into SEF reforms
31 Jan 2019, 5:00 am by John Jascob
By Lene Powell, J.D.Stressing a need to correct CFTC overreach in cross-border regulation, Chairman J. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
ISS predicts California law will drive nationwide upswing of female board directors
14 Jan 2019, 5:00 am by John Jascob
By Lene Powell, J.D.A new study by ISS finds that California’s new law requiring public companies to include female directors on their boards could have “significant reverberations” for the entire U.S. market, potentially increasing the number of women on U.S. boards by 22 percent. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Willkie Farr attorneys discuss prevention and litigation of commodities insider trading
18 Dec 2018, 6:42 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/