Search for: "Lene Powell" Results 1 - 20 of 199
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9 Sep 2021, 11:10 am by John Jascob
However, there is formidable opposition. 63 top law firms have signed an unusual joint statement opposing the litigation.Senior legal analyst Lene Powell explains the legal claims and what’s at stake.Read the piece here: Are SPACs investment companies? [read post]
16 Jun 2021, 6:46 am by John Jascob
By Lene Powell, J.D.The SEC and CFTC have released their Spring 2021 agendas, providing insight into the agencies’ rulemaking priorities in the months to come. [read post]
4 May 2017, 5:00 am by John Jascob
By Lene Powell, J.D.Despite uncertainty resulting from the change in administration, experienced insiders can make educated guesses as to the direction of SEC enforcement in the new environment. [read post]
20 Dec 2021, 11:34 am by John Jascob
., Lene Powell, J.D., and Brad Rosen, J.D.This year has been a steady build up to what promises to be an active period of rulemaking, enforcement, and maybe even lawmaking on the environmental, social, and governance (ESG) front in 2022. [read post]
27 Dec 2017, 6:47 am by John Jascob
By Lene Powell, J.D.The SEC is seeking comment on proposed amendments to Freedom of Information Act (FOIA) regulations. [read post]
16 Jan 2018, 5:00 am by John Jascob
By Lene Powell, J.D.Mandelbaum Salsburg has added a new Securities Law Practice Group. [read post]
21 Nov 2014, 12:45 pm by John Jascob
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.CFTC Commissioner Sharon Bowen put out a call for comment on the composition and priorities of a new committee looking at market risk, as well as nominations for committee members.The newly established Market Risk Advisory Committee (MRAC) will examine matters of public concern to clearinghouses, exchanges, intermediaries, market makers, end-users, and the Commission relating to systemic issues that… [read post]
8 Jul 2015, 2:48 pm by John Jascob
By Lene Powell, J.D.The New York Stock Exchange (NYSE and NYSE MKT) today suspended trading across all symbols for more than three hours, between 11:32 am and 3:10 pm ET. [read post]
21 Sep 2015, 4:43 am by John Jascob
By Lene Powell, J.D.The CFTC ordered an Australia-based financial services company to pay a $150,000 penalty for failing to submit accurate large trader reports for physical commodity swap positions in violation of Section 4s(f) of the Commodity Exchange Act (CEA) and CFTC Regulations 20.4 and 20.7. [read post]
17 Jun 2021, 7:32 am by John Jascob
By Lene Powell, J.D.Joining the Senate to head off a potential funding shortfall in the CFTC whistleblower program, the House Agriculture Committee approved a committee print to shore up funding for the program’s administrative expenses as well as customer education initiatives.Approved by voice vote, the committee print mirrors legislation passed by the Senate earlier this month (S. 409). [read post]
16 Sep 2014, 7:33 pm by John Jascob
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.A CFTC-registered swap execution facility (SEF) has launched the first regulated platform for bitcoin derivatives, as well as a bitcoin price index. [read post]
10 May 2021, 11:16 am by John Jascob
By Lene Powell, J.D. and Brad Rosen, J.D.While the Biden Administration has come flying out of the gate on multiple fronts during its first 100 days—public health, the economy, climate change, and infrastructure among other areas, it has largely ignored the Commodity Futures Trading Commission, the independent agency that regulates the nation’s futures and derivatives markets. [read post]
5 Aug 2021, 9:07 am by John Jascob
By Lene Powell, J.D.At five months before the slated end of the LIBOR benchmark rate, the Alternative Reference Rates Committee (ARRC) announced it is formally recommending CME Group’s forward-looking Secured Overnight Financing Rate (SOFR) term rates (SOFR Term Rates). [read post]
11 Nov 2015, 6:23 am by John Jascob
By Lene Powell, J.D.As the CFTC mulls an upcoming proposal on automated trading, the agency is considering what controls are needed to safeguard against market disruptions rather than any change to the speed of trading itself, said CFTC Chairman Timothy Massad. [read post]