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WELLS FARGO has agreed to pay $812,500 to the SEC to settle charges related to the financing of 38 Studios.

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...
THE FEDERAL RESERVE, shown above, has issued a report that anticipates increased commercial lending by credit unions based on the relaxing of rules two years ago. Is that a good thing? / BLOOMBERG FILE PHOTO/ANDREW HARRER

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...
THE SEC has adopted amendments that obligates securities dealers to ensure that municipalities report updated financial information and material events to bondholders. The amendments will force the disclosure of loans incurred by municipalities, loan defaults and changes to financial covenants that affect bondholders within 10 business days. /BLOOMBERG NEWS FILE PHOTO/MICHAEL NAGLE

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...
PRESIDENT DONALD TRUMP's request to the Securities and Exchange Commission to to study biannual reporting for public United States businesses has some concerned for transparency for investors and company growth. / BLOOMBERG NEWS FILE PHOTO/MICHAEL NAGLE

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...
PRESIDENT DONALD TRUMP said that he has ordered the Securities and Exchange Commission to to study ending quarterly reporting for United States businesses. / BLOOMBERG NEWS FILE PHOTO/T.J. KIIRKPATRICK

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...
SECRETARY OF THE COMMONWEALTH William F. Galvin said the SEC’s new rules of conduct for securities broker-dealers should be more stringent, like those for investment advisers. / COURTESY MASS. SECRETARY OF THE COMMONWEALTH

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...
THE U..S. SECURITIES AND EXCHANGE COMMISSION has fined Oaktree Capital Management for violating "pay-to-play" rules regarding campaign contributions to Gov. Gina M. Raimondo during her 2014 run for office. Her office said that the contribution was flagged and returned at the time. / PBN FILE PHOTO/MARK S. MURPHY

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...
Beyond the average
A piece of the Dodd-Frank financial reform law required for the first time that companies disclose the ratio of their CEO’s pay to the median salary of its employees, although the employers were allowed to exclude some workers from the calculation. / Sources: Company filings (Some companies excluded non-U.S. employees and others.)

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...
THE FEDERAL RESERVE Board has introduced a proposal to scale back several elements of the Volcker Rule. / BLOOMBERG FILE PHOTO/ANDREW HARRER

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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