The SEC granted exemptive relief to European issuers from Regulation M prohibitions in connection with distributions of certain contingent convertible debt securities.
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The Bank of New York Mellon Corporation agreed to pay a $6.6 million penalty to settle SEC allegations of reporting, recordkeeping and accounting failures based on a miscalculation of risk-based capital ratios and risk-weighted assets.
Agencies updated a FAQ document to clarify the capital treatment of certain Collateralized Debt Obligations.