The Latest Breaking News from SEC

Do You Lack the Confidence to Go Ahead and Retire? You're Not Alone

Feeling secure enough to retire can be hard to define, especially during periods of economic uncertainty, and the decision isn't always about affordability.

Kiplinger · Jul 9

Clients Asking About IPOs? Here's a 5-Step Framework for the Conversation

Using these steps, financial advisers can walk clients through the IPO process and the realities while also addressing the client's long-term financial plan.

Kiplinger · Jul 9

US Stock Market: SEC clears path for UBS crisis resolution plan with key bail-in guidance

The US Securities and Exchange Commission will not object to certain UBS securities transactions. This regulatory relief aids Switzerland's bank resolution framework during financial crises. The move addresses potential conflicts between Swiss and US securities regulations. It ensures UBS can execute bail-in measures if directed by Swiss authorities. This clarification…

The Economic Times · Jul 9

Moving Wealth Abroad? Here's How to Keep Your American Dream From Turning Into an Overseas Nightmare

Pulling up stakes and moving your family — and your money — abroad isn't for the faint hearted, not least because of ultra complicated tax and banking rules.

Kiplinger · Jul 8

Thai regulator tracks mystery investor in blue-chip companies

The ⁠Securities and Exchange ⁠Commission (SEC) says it is investigating filing documentation for share purchases in six Thai companies since 2021 ​by a mystery investor who last week reported acquiring a 7% stake worth 32 billion baht in True Corporation.

Bangkok Post · Jul 8

Organisations to amend legal framework for bonds

The Thai Bond Market Association (ThaiBMA) is working with the Securities and Exchange Commission (SEC) to amend the Securities and Exchange Act and bankruptcy law, closing legal loopholes that have allowed some bond issuers to avoid repayments through rehabilitation proceedings.

Bangkok Post · Jul 7

AI startup CEO pleaded guilty in US to trading on insider tips from lawyers

An AI startup founder secretly pleaded guilty last year to insider trading. Arya Bolurfrushan participated in a scheme involving law firm attorneys tipping traders. He agreed to a plea deal recommending two years in prison and forfeiture. Bolurfrushan traded on confidential merger information, earning significant profits. Nine other defendants also…

The Economic Times · Jul 7

Investors Want Quarterly Earnings to Stay as SEC Weighs Reporting Shake-Up: Report

Investor groups have reportedly expressed their support for the continuation of quarterly reporting by publicly traded companies in response to a proposal advocating for semiannual reporting.

Benzinga · Jul 7

Intel-Backed Syntiant, Maker of AI Chips for Earbuds and Cars, Files for IPO on Nasdaq

Syntiant Corp, an artificial intelligence software and semiconductor company, filed for a U.S. initial public offering on Monday, joining a growing list of AI companies seeking to tap public markets amid strong investor demand for the sector.

Benzinga · Jul 7

'You're Lucky I'm President': Trump Says Biden Crypto Crackdown Collapsed After 'Getting Killed'

Trump said Biden abandoned a tougher crypto stance before the election and argued the US must compete with China in digital assets.

International Business Times UK · Jul 6