Tag: Securities and Exchange Commission
Wells Fargo agrees to $813K settlement to SEC over 38 Studios...
PROVIDENCE – Wells Fargo Securities LLC has agreed to a $812,500 settlement with the Securities and Exchange Commission over its role in the 38...
Regulators issue notice of proposed Volcker Rule exemption for small banks
PROVIDENCE – Federal banking agencies have issued a notice of proposed rule-making to exempt banks with less than $10 billion in assets from the...
Better Markets pushes SEC to release investor-testing records
PROVIDENCE – A public interest group is calling for the Securities and Exchange Commission to release all records related to investor testing that the...
SEC forces cities to reveal Wall Street loans with holdings surging
NEW YORK - The U.S. Securities and Exchange Commission moved to require states and local governments to disclose bank loans and privately placed debt, seeking...
The $23 trillion argument against dismantling U.S earnings rules
NEW YORK - Are U.S. companies penalized because they’re forced to report results each quarter? Investors basking in a nine-year bull run that is...
Trump seeks SEC study of 6-month reporting instead of quarterly
NEW YORK - President Donald Trump said he’s asked the Securities and Exchange Commission to study ending quarterly reporting for United States businesses in order...
Groups, officials weigh in on SEC-proposed standard of conduct for broker-dealers
PROVIDENCE – Numerous groups and officials weighed in last week on the U.S. Securities and Exchange Commission’s Regulation Best Interest proposal that sets a...
Money manager for state pension settles SEC complaint for violating ‘pay-to-play’...
PROVIDENCE – Gov. Gina M. Raimondo is cited indirectly in a federal complaint against an investment advisory firm that handled state pension money when...
Pay ratio disclosures show wide gaps between CEOs, employees
Out of the 19 public companies that are based in or have significant operations within Rhode Island and have filed proxy statements recently, 14...
Fed releases proposal for easing Volcker Rule trading limits
NEW YORK - Wall Street’s long campaign to chip away at the toughest trading restriction imposed on banks after the financial crisis is finally...
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