Search for: "Lene Powell"
Results 61 - 80
of 257
Sorted by Relevance
|
Sort by Date
6 May 2020, 8:10 pm
By Lene Powell, J.D. [read post]
Senator Kennedy introduces bill to require SPACs to better explain sponsor compensation to investors
5 May 2021, 8:24 am
By Lene Powell, J.D.As the spike in SPAC offerings continues, a new bill introduced by Sen. [read post]
19 Sep 2017, 8:03 am
By Lene Powell, J.D.To reduce cross-border regulatory conflict and duplication, the International Swaps and Derivatives Association, Inc. [read post]
30 Aug 2017, 6:59 am
By Lene Powell, J.D.An action filed in the Southern District of New York alleges that 27 banks have conspired since 2007 to fix and manipulate the markets for U.S. [read post]
6 Feb 2024, 7:12 am
By Lene Powell, J.D.A group of U.S. lawmakers pressed Congressional decisionmakers to eliminate legislative riders that would block federal funds in broad ways relating to environmental, social, and governance (ESG) issues. [read post]
9 Feb 2024, 5:25 am
By Lene Powell, J.D.In a new court filing, ExxonMobil argues the withdrawal of a shareholder proposal on greenhouse gas emissions does not moot its claim for declaratory relief. [read post]
7 Dec 2017, 7:51 am
By Lene Powell, J.D.Heading off possible fragmentation of E.U. and U.S. derivatives markets, the European Commission announced that it will recognize CFTC-authorized Designated Contract Markets (DCMs) and Swap Execution Facilities (SEFs) as eligible for compliance with EU derivatives trading requirements under MiFID II/MIFIR. [read post]
5 Jan 2022, 6:08 am
By Lene Powell, J.D.In a new series of staff letters, the CFTC revised previous no-action relief to reflect guidance by the U.K. [read post]
8 Nov 2016, 5:00 am
By Lene Powell, J.D.SIFMA Asset Management Group (AMG) submitted a comment letter requesting relief relating to uncleared swaps margin requirements established by the CFTC and prudential regulators. [read post]
18 Feb 2016, 5:00 am
By Lene Powell, J.D.An Illinois federal district court dismissed a private action alleging that anonymous traders manipulated futures markets by “spoofing” trades on the Chicago Board of Trade, ruling that the Federal Arbitration Act required the matter to be arbitrated. [read post]
6 Jan 2016, 8:20 am
By Lene Powell, J.D.In the guise of a comment letter on a BATS proposal to strengthen its authority to combat disruptive trading, a commenter pretending to represent a fictional proprietary trading firm pilloried SEC Investor Advocate Rick Fleming on the subject of high-frequency trading. [read post]
13 Dec 2022, 5:15 am
By Lene Powell, J.D.Watchdog group Better Markets has filed a complaint asking the CFTC Inspector General to investigate Commissioner Caroline Pham for “possible ethics violations and misuse of her position. [read post]
15 Sep 2021, 4:18 pm
By Lene Powell, J.D.The White House announced President Joe Biden’s intent to nominate three individuals for seats on the Commodity Futures Trading Commission. [read post]
16 Nov 2016, 5:00 am
By Lene Powell, J.D.In remarks before CME Global Financial Leadership Conference, CFTC Chairman Timothy Massad said he does not expect a wholesale repeal of the Dodd-Frank Act in the next administration, though this is being cited as a priority of the Trump administration. [read post]
16 Mar 2018, 7:06 am
By Lene Powell, J.D. [read post]
2 Nov 2023, 6:10 am
By Lene Powell, J.D.Senator Josh Hawley (R-Mo) has introduced a bill aiming to limit public corporations’ ability to influence elections. [read post]
14 Oct 2022, 7:09 am
By Lene Powell, J.D.SEC staff issued an FAQ stating that an investment adviser may consider factors relating to diversity, equity, and inclusion (DEI) in recommending other investment advisers to or selecting other advisers for its clients—if the use of such factors is consistent with a client’s objectives, the scope of the relationship, and the adviser’s disclosures.Commissioners Caroline Crenshaw and Jaime Lizárraga said the FAQ is a “step in the… [read post]
2 Feb 2021, 7:51 am
By Lene Powell, J.D.The SEC announced that John Coates will serve as Acting Director of the Division of Corporation Finance. [read post]
2 Oct 2023, 6:13 am
By Lene Powell, J.D.The SEC is proposing amendments to rules and Form N-4 to enhance the registration, disclosure, and advertising framework for registered index-linked annuities (RILAs). [read post]
11 Mar 2016, 4:29 pm
By Lene Powell, J.D.A cooperative corporation and futures commission merchant (FCM) agreed to pay $1 million to settle CFTC charges relating to persistent errors in reporting corn and soybean futures positions, in violation of Regulation 19.01. [read post]
