Search for: "Lene Powell"
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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]
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]
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]
14 Oct 2019, 8:22 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]
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]
12 Aug 2021, 9:59 am
By Lene Powell, J.D.A new analysis by Watchdog Research shows a spike in 2021 of SPACs breaking bad news in amended 10-K filings, rather than using 8-Ks and other traditional methods. [read post]
1 Sep 2022, 6:17 am
By Lene Powell, J.D.A House Oversight subcommittee chair has requested information from four federal financial regulators and five digital assets organizations about their efforts to combat fraud. [read post]
15 May 2019, 7:12 am
By Lene Powell, J.D. [read post]
15 Feb 2017, 6:45 am
By Lene Powell, J.D.Rapid technological change and structural economic problems, including massive manufacturing job losses, are causing many Americans to feel they’re not getting a fair deal, said CFTC Commissioner Sharon Bowen in recent remarks at Northwestern University. [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]
5 May 2015, 7:57 am
By Lene Powell, J.D.In a petition to dissolve a deadlocked company, the Delaware Court of Chancery held that although a subsidiary lacked standing to bring a petition for statutory dissolution under the Delaware Limited Liability Company Act, it could bring a petition for dissolution in equity. [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]
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]
19 Mar 2021, 9:37 am
By Lene Powell, J.D.Criticizing a "disproportionate focus on illicit uses" of cryptocurrency and digital assets, SEC Commissioner Hester Peirce drew attention to crypto’s ability to protect people from harm by family or repressive governments. [read post]
26 Oct 2023, 5:59 am
By Lene Powell, J.D.SIFMA has amended its complaint in a challenge to Missouri securities rules that purport to “require transparency regarding ESG. [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]
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]
6 Feb 2017, 5:00 am
By Lene Powell, J.D.The CFTC settled charges against The Royal Bank of Scotland plc (RBS), finding that certain of the bank’s traders attempted to manipulate U.S. [read post]
