Search for: "Lene Powell" Results 21 - 40 of 261
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Commissioner Bowen Seeks Input on New Market Risk Advisory Committee
21 Nov 2014, 12:45 pm by John Jascob
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.CFTC Commissioner [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC squares off with ESG investment managers and index providers
23 Sep 2022, 7:30 am by John Jascob
By Lene Powell, J.D., Brad Rosen, J.D. and Matthew Garza, J.D.In remarks in May SEC Chair Gensler acknowledged [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
2020 year in review: SEC and CFTC rulemaking and enforcement developments
15 Dec 2020, 6:50 am by John Jascob
By Anne Sherry, J.D., Amanda Maine, J.D., Amy Leisinger, J.D., Lene Powell, J.D., Rodney F. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Swap Execution Facility Launches First Bitcoin Swaps
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 [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Massad Says CFTC is Focused on Automated Trading Controls, Not Speed
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 [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
After the Biden Administration’s first 100 days, CFTC leadership remains in holding pattern
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 [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC proposes to clarify reporting exemption for single-issuer broker-dealers
24 Sep 2018, 7:03 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CFTC funding cut will put markets at risk, Commissioner Behnam warns
26 Mar 2018, 7:18 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Legislative fix to save imperiled CFTC whistleblower program moves forward in House
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 [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Alternative Reference Rates Committee formally recommends CME’s forward-looking SOFR term rates
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 [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CFTC signs cooperation agreement with U.K. FCA on supervision of cross-border firms
10 Oct 2016, 9:05 am by John Jascob
By Lene Powell, J.D.The heads of the CFTC and U.K. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC argues stock buybacks are not constitutionally protected “expressive activity”
12 Oct 2023, 9:34 am by Unknown
By Lene Powell, J.D.In a court challenge by the U.S. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Court finds no SEC ethical lapse in Binance enforcement action
29 Jun 2023, 9:06 am by Unknown
By Lene Powell, J.D.A federal district court declined to remind the SEC of ethical obligations in connection [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CFTC’s authority over cryptocurrency fraud reaffirmed
19 Jul 2018, 7:19 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CFTC Fines Swap Dealer $150,000 in First Penalty for Large Trader Swap Reporting Violations
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 [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Commissioner Peirce fears that overuse of staff guidance creates “secret law”
10 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/
Oklahoma state treasurer seeks info from financial institutions on ‘boycott’ of energy companies
8 Feb 2023, 6:29 am by Unknown
By Lene Powell, J.D.Citing BlackRock as “a well-known adversary of energy businesses,” Oklahoma [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC issues new C&DIs to clarify certain COVID-19 filing extensions
6 Apr 2020, 8:42 pm by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Class action alleges Lyft misled investors in IPO
21 May 2019, 10:08 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CFTC to accept additional comments after Regulation AT roundtable
6 Jun 2016, 7:17 am by John Jascob
By Lene Powell, J.D.The CFTC will reopen the comment period for proposed Regulation Automated Trading [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/