Search for: "Lene Powell"
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28 Apr 2022, 5:57 am
By Lene Powell, J.D.In remarks at City Week, SEC Chair Gary Gensler outlined targeted initiatives to improve transparency, resiliency, integrity, and access in fixed-income markets. [read post]
5 Apr 2022, 6:43 am
By Lene Powell, J.D.In a CFTC oversight hearing of the House Agriculture Committee, members returned repeatedly to the topic of digital assets. [read post]
29 Mar 2022, 8:14 am
By Lene Powell, J.D.Driven partly by concern about events in the U.S. [read post]
17 Mar 2022, 10:15 am
By Lene Powell, J.D.CFTC Chair Rostin Behnam repeated a call for new legislative authority for the CFTC to develop a regulatory framework for the cash digital asset commodity markets, saying growing risks in these markets require a proactive federal regulatory approach. [read post]
15 Mar 2022, 10:35 am
By Lene Powell, J.D.A new analysis of FINRA disciplinary actions by Eversheds Sutherland shows a 60 percent increase in overall fines by FINRA in 2021, largely driven by a record-setting $57 million fine for Robinhood Financial. [read post]
28 Jan 2022, 7:21 am
By Lene Powell, J.D.SEC Enforcement Director Gurbir Grewal touched on themes of continuity and collaboration in a panel at a securities conference. [read post]
27 Jan 2022, 10:33 am
By Lene Powell, J.D.SEC Chair Gary Gensler intends to move forward in 2022 with regulations on cybersecurity and climate disclosure, but it is not clear he can get rules finalized this year, a conference panel of former SEC officials agreed. [read post]
24 Jan 2022, 5:00 am
By Lene Powell, J.D.Ahead of an expected SEC rule proposal on human capital management disclosures, new research provides hard data in this much-watched area. [read post]
13 Jan 2022, 6:22 am
., Lene Powell, J.D., and Brad Rosen, 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]
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]
20 Dec 2021, 11:34 am
., 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]
17 Dec 2021, 6:37 am
By Lene Powell, J.D.At long last, Rostin Behnam has been confirmed by the Senate as the permanent chairman of the CFTC. [read post]
15 Dec 2021, 9:23 am
By Lene Powell, J.D. and Mark S. [read post]
24 Nov 2021, 7:51 am
By Lene Powell, J.D.The Council for Institutional Investors (CII) has filed an amicus brief in one of three high-profile lawsuits on behalf of a SPAC investor brought by former SEC Commissioner Robert Jackson, Jr. [read post]
22 Nov 2021, 6:50 am
By Lene Powell, J.D.A new report by Institutional Shareholder Services (ISS) finds an accelerating upward trend in the number of U.S. companies using environmental and social (E&S) metrics in executive compensation programs. [read post]
18 Nov 2021, 6:10 am
By Lene Powell, J.D.The SEC adopted final rule amendments to eliminate differences in voting options for shareholders voting in person and by proxy. [read post]
16 Nov 2021, 6:08 am
By Lene Powell, J.D.In an opinion letter to the Delaware Court of Chancery, the SEC informed the court that although reverse mergers are not per se illegal under federal securities laws, they raise significant investor protection and market manipulation concerns. [read post]
11 Nov 2021, 8:40 am
By Lene Powell, J.D.The hot IPO and SPAC market is likely to continue but SPACs may see some regulation around disclosures, panelists at a Practising Law Institute conference said. [read post]
8 Nov 2021, 6:42 am
By Lene Powell, J.D.Sharing insights honed by past leadership in the SEC Enforcement Division, prominent members of the SEC defense bar discussed the agency’s assertive enforcement under SEC Chair Gary Gensler and Enforcement Director Gurbir Grewal. [read post]
