Search for: "Lene Powell"
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8 Jul 2019, 7:32 am
By Lene Powell, J.D. [read post]
Commissioner Quintenz warns “grim” budget situation threatens CFTC functioning, may cause staff cuts
10 May 2018, 7:03 am
By Lene Powell, J.D. [read post]
31 Jul 2017, 7:36 am
By Lene Powell, J.D. [read post]
25 Jul 2023, 9:10 am
By Lene Powell, J.D.Parts of the recent controversial ruling in SEC v. [read post]
13 Jul 2023, 5:22 am
By Lene Powell, J.D.The SEC proposed to amend the Customer Protection Rule to require certain broker-dealers to increase the frequency of specified account computations and deposits. [read post]
10 Apr 2024, 7:02 am
By Lene Powell, J.D.In the SEC’s big jury trial win against Terraform Labs PTE Ltd. and its former CEO, Do Kwon, the jury found that false or misleading statements were reckless or intentional, happened "in the offer or sale" of crypto tokens, and were distributed via the mails or an instrumentality of interstate commerce. [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]
31 Aug 2015, 8:34 am
By Lene Powell, J.D.The European Securities and Markets Authority (ESMA) is seeking feedback on a new consultation paper addressing the amount of margin required to be collected by clearinghouses. [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]
6 May 2019, 6:23 am
By Lene Powell, J.D. [read post]
11 Jan 2022, 5:00 am
By Lene Powell, J.D.A CEO’s shares in a company acquired by a special purpose acquisition company (SPAC) were not subject to a lockup restriction, the Delaware Court of Chancery held. [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]
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]
3 Aug 2022, 6:51 am
By Lene Powell, J.D.Estimates by a medical company about the number of nerve injuries and surgeries occurring “each year” were forward-looking statements protected by the PSLRA safe harbor, a three-judge panel of the Eleventh Circuit ruled. [read post]
27 Apr 2018, 6:03 am
By Lene Powell, J.D. [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]
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]
12 Feb 2019, 6:05 am
By Lene Powell, J.D. [read post]
7 Jul 2015, 5:04 am
By Lene Powell, J.D.Newman did not add a requirement for tippers to receive a “quid pro quo” from tippees, so Rajat Gupta lost his bid to have his two-year sentence for insider trading vacated. [read post]
