Search for: "Lene Powell" Results 161 - 180 of 261
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
SEC proposes amendments, guidance for cross-border security-based swaps
15 May 2019, 7:12 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Failure to show artificial price dooms CFTC manipulation action against DRW
4 Dec 2018, 7:00 am by John Jascob
By Lene Powell, J.D.Calling the conclusions of a CFTC expert witness “absurd,” “near [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
NY AG finds pervasive vulnerabilities in virtual currency exchanges
20 Sep 2018, 7:21 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
FIA warns European Commission not to require euro-denominated derivatives to be cleared in E.U.
7 Jun 2017, 8:35 am by John Jascob
By Lene Powell, J.D.In a letter to the Vice President of the European Commission, the derivatives association [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Court reverses judgment for SEC on disclosure, accounting fraud claims
29 Sep 2016, 6:49 am by John Jascob
By Lene Powell, J.D.A federal district court erred in awarding partial summary judgment for the SEC in [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Private action plaintiffs urge court to deny Kraft request for interlocutory appeal
9 Aug 2016, 6:30 am by John Jascob
By Lene Powell, J.D.Plaintiffs in a private action alleging commodity price manipulation and antitrust [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Focus on governance, enforcement to rebuild faith in institutions, says CFTC’s Bowen
15 Feb 2017, 6:45 am by John Jascob
By Lene Powell, J.D.Rapid technological change and structural economic problems, including massive manufacturing [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Stockholder ‘Slept’ on Quasi-Appraisal Claim, Barred by Laches
23 Nov 2015, 9:03 am by John Jascob
By Lene Powell, J.D.The Delaware Court of Chancery dismissed an action alleging that a company director [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SIFMA sharpens challenge to Missouri securities rules that create hurdles to ESG investing
26 Oct 2023, 5:59 am by Unknown
By Lene Powell, J.D.SIFMA has amended its complaint in a challenge to Missouri securities rules that [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
PSLRA safe harbor protects some yearly estimates as forward-looking statements, court rules
3 Aug 2022, 6:51 am by John Jascob
By Lene Powell, J.D.Estimates by a medical company about the number of nerve injuries and surgeries occurring [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC fines BNY Mellon adviser $1.5 million for misleading on ESG analysis
24 May 2022, 5:00 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Gensler calls for greater transparency, resiliency in fixed-income markets
28 Apr 2022, 5:57 am by John Jascob
By Lene Powell, J.D.In remarks at City Week, SEC Chair Gary Gensler outlined targeted initiatives to [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
ISS study sees “tipping point” in companies increasingly tying executive pay to ESG metrics
22 Nov 2021, 6:50 am by John Jascob
By Lene Powell, J.D.A new report by Institutional Shareholder Services (ISS) finds an accelerating upward [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
CFTC reports relatively small whistleblower awards for FY 2021, but strong pipeline
1 Nov 2021, 3:43 pm by John Jascob
By Lene Powell, J.D.The CFTC Whistleblower Office released its annual report for FY 2021, revealing a [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Peirce calls for clarity in crypto regulation, highlights crypto’s potential in protecting individuals from danger
19 Mar 2021, 9:37 am by John Jascob
By Lene Powell, J.D.Criticizing a "disproportionate focus on illicit uses" of cryptocurrency [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Coinbase asks Third Circuit to require SEC to respond to rulemaking petition on crypto
27 Apr 2023, 6:19 am by Unknown
By Lene Powell, J.D.Coinbase, Inc., a major cryptocurrency trading platform, has brought an action asking [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Funds take nuanced approached to proxy voting, ICI study finds
1 Aug 2019, 8:26 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Upcoming cryptocurrency guidance should cast Howey net narrowly, Commissioner Peirce urges
12 Feb 2019, 6:05 am by John Jascob
By Lene Powell, J.D. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Event Prediction Contracts Were ‘Commodity Options’ Within CFTC Jurisdiction
5 Aug 2015, 7:27 am by John Jascob
By Lene Powell, J.D.Adding certainty to the status of event prediction contracts under federal commodities [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Rise of the machines: industry mulls automated trading and ‘robo-regulators’
17 Mar 2017, 8:05 am by John Jascob
By Lene Powell, J.D.At a derivatives industry conference, a panel of market participants and a CFTC official [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/