Search for: "Lene Powell" Results 181 - 200 of 261
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Commenters weigh in on CFTC’s revised Regulation AT proposal
3 May 2017, 5:00 am by John Jascob
By Lene Powell, J.D.The CFTC received a variety of comments on its revised proposal to regulate automated [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CFTC Says It Properly Approved CME Rule in Swap Reporting Dispute
3 Sep 2014, 11:37 am by John Jascob
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In a conflict over [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Commissioner Giancarlo Warns Overregulation May Dry Up Liquidity, Increase Volatility
28 Oct 2015, 5:30 am by John Jascob
By Lene Powell, J.D.A combination of rules in the U.S. and abroad are, when taken together, depriving [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC’s data analysis team cracks three alleged insider trading schemes
27 Jul 2022, 7:04 am by John Jascob
By Lene Powell, J.D.The SEC announced insider charges against nine individuals in connection with three [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
House Agriculture Committee hearing on CFTC oversight focuses on digital assets
5 Apr 2022, 6:43 am by John Jascob
By Lene Powell, J.D.In a CFTC oversight hearing of the House Agriculture Committee, members returned [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC, CFTC publish Spring 2021 rulemaking agendas
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 [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Chairman Tarbert: ‘I want the United States to lead’ on blockchain and digital assets
21 Nov 2019, 7:57 am by John Jascob
By Lene Powell, J.D.In a CNBC interview and opinion piece in Fortune magazine, CFTC Chairman Heath Tarbert [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Chairman Giancarlo unveils ambitious new swaps reform agenda
27 Apr 2018, 6:03 am by John Jascob
By Lene Powell, J.D. In a new white paper, CFTC Chairman J. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
IOSCO proposes guidance on conflicts of interest in capital raising
27 Feb 2018, 7:28 am by John Jascob
By Lene Powell, J.D.To address conflicts of interest and associated conduct risks in the equity capital [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
House Financial Services Committee examines market data issues, conflicts of interest
28 Jun 2017, 7:11 am by John Jascob
By Lene Powell, J.D.In a hearing of the capital markets subcommittee of the House Financial Services [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Giancarlo updates House oversight committee on clearinghouse, cryptocurrency issues
27 Jul 2018, 9:15 am by John Jascob
By Lene Powell, J.D. In an oversight hearing of the House Agriculture Committee, CFTC Chairman J. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Council for Institutional Investors cites major investor protection concerns as amicus in SPAC case
24 Nov 2021, 7:51 am by John Jascob
By Lene Powell, J.D.The Council for Institutional Investors (CII) has filed an amicus brief in one of [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC slams crypto giant Ripple Labs and two execs with enforcement action over alleged $1.3B unregistered securities offering
28 Dec 2020, 7:45 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Sen. Toomey says SEC murkiness on cryptoassets is hurting consumers
29 Jul 2022, 8:20 am by John Jascob
By Lene Powell, J.D.In a letter to SEC Chair Gary Gensler, Senate Banking Committee Ranking Member Pat [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Chair Behnam again calls for expanded CFTC authority in cash crypto markets, discusses ‘global shift’ of disintermediation
17 Mar 2022, 10:15 am by John Jascob
By Lene Powell, J.D.CFTC Chair Rostin Behnam repeated a call for new legislative authority for the CFTC [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Supreme Court mulls whether omission of “known trends and uncertainties” is securities fraud
18 Jan 2024, 6:38 am by Unknown
By Lene Powell, J.D.The U.S. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Investment bank’s ‘head-scratching’ conflict of interest was most likely oversight, not fraud
12 Apr 2021, 9:29 am by John Jascob
By Lene Powell, J.D.The Ninth Circuit upheld the dismissal of a fraud action against an investment bank [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Spoofing or wire fraud? DOJ fires back at industry criticism of charging decision
1 Apr 2019, 5:00 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Giancarlo emphasizes cross-border deference, delves into SEF reforms
31 Jan 2019, 5:00 am by John Jascob
By Lene Powell, J.D.Stressing a need to correct CFTC overreach in cross-border regulation, Chairman J [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Industry groups support CFTC proposal on swap dealer registration; watchdog calls it ‘Swiss cheese’
16 Aug 2018, 7:42 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/