SEC

Megabanks lead fight to curtail influence of ‘social impact’ investors

03/30/17

Investors concerned about the impact on banking of climate change, the pay gap and ethics matters are pushing back against a coalition of the heads of the biggest U.S. banks and other public companies that wants to limit small investors’ access to proxy ballots.

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Trump SEC pick set for contentious reunion with Elizabeth Warren

03/22/17

Jay Clayton, the Wall Street lawyer tapped to lead the Securities and Exchange Commission, faces what could be an uncomfortable reunion this week with Senator Elizabeth Warren.

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How Dodd-Frank rollback hits the SEC; Stress reduction for big banks

02/07/17

The SEC may have a more difficult time than other agencies adopting lenient financial regulations; the Fed's newest stress tests may be easier on the biggest banks.

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BNY Mellon to pay $6.6M to settle capital-ratio-calculation probe

01/12/17

The issue stemmed from how the company handled collateralized-loan obligations for calculating capital ratios.

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The Daily Docket: ‘Old GM’ Trust Has More Than $1 Billion

05/28/14
European Pressphoto Agency

Victims that lost money as a result of General Motors Co.’s ignition-switch problem could be forced to battle Old GM creditors for the remains of a trust that contains just more than $1 billion, accord

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SEC Kicks Stock Trader Out of Chapter 13 Bankruptcy

03/29/12

Too Much Debt Forces Trader Out of Chapter 13 It’s never a good thing when you owe money to the federal government. While that doesn’t come as a big surprise to most of us, the story of a Michigan stock broker reminds us yet again that Uncle Sam can and will play hard ball. Debtor [...]

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