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.

[more]

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.

[more]

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.

[more]

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.

[more]