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


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.


Trump SEC pick set for contentious reunion with Elizabeth Warren


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.


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


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.


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


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


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

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


SEC Kicks Stock Trader Out of Chapter 13 Bankruptcy


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 [...]