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The Latest Breaking News from Securities and Exchange Commission

What Happens if You Invest Your Entire Tax Refund Every Year for 20 Years?

Investing your entire tax refund every year for 20 years could turn money that once disappeared into weekend shopping, home projects, and forgotten subscriptions into a surprisingly substantial investment account. The real advantage comes from repeating the decision, not from finding a spectacular stock or predicting the next market boom.

The Free Financial Advisor · Oct 17

SEC ends climate-investor investigation, warns of disclosure obligations

In this week’s edition of Economy and Society:

Ballotpedia · Oct 14

Caribou Biosciences Halts Off-the-Shelf CRISPR CAR-T Programs for Lymphoma and Myeloma After Failing to Fund Phase 3 Trial

Caribou Biosciences is ending its off-the-shelf CAR-T programs after failing to fund a phase 3 lymphoma trial. What patients should know.

Medical Daily · Oct 10

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18 Attorneys General Warn Federal Crypto Bill Could Weaken State Fraud Protections

A bipartisan group of 18 attorneys general is urging Congress to reject a major cryptocurrency bill, warning that it could make it harder for states...

Saving Advice · Sep 15

SEC moves to eliminate shareholder proposal rule, shift power to states

The Securities and Exchange Commission (SEC) submitted a proposed rule for interagency review on Aug. 28 that would rescind Rule 14a-8, the federal regulation requiring public companies to include qualifying shareholder proposals in their annual proxy statements. The proposal would also amend Rule 14a-4, which governs proxy solicitation materials.

Ballotpedia · Sep 9

The SEC Says Fake Investment Firms Used Government Filings to Look Legitimate—Here’s the Trick Investors Need to Know

A government website can make almost anything look more official than it really is, and scammers have figured that out. The Securities and Exchange Commission recently warned that dozens of entities used SEC filings to create the appearance of legitimate investment firms, giving potential victims something that looked reassuringly official…

The Free Financial Advisor · Sep 8

A $1.9 Billion Subprime Auto Lender Collapsed, Here’s What Car Buyers Can Learn From It

A car loan can look wonderfully simple from the dealership desk: pick a vehicle, sign some papers, make a monthly payment, and drive away. Tricolor’s massive collapse shows why that neat little arrangement deserves a closer look, especially when a buyer needs subprime financing. The Texas-based auto dealer and lender…

Clever Dude · Sep 4

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SEC Proposes Opening U.S. Futures Trading to European Union Debt

The Securities and Exchange Commission is proposing a regulatory change that could make it easier for U.S. market participants to trade futures contracts tied to debt issued by the European Union.

The Free Financial Advisor · Sep 3

SoftBank's SB Energy Files for IPO, But OpenAI Dependence Emerges as Major Risk

In an S-1 registration statement filed with the Securities and Exchange Commission, SB Energy said it is "substantially dependent" on OpenAI, which serves as both a major tenant and an equity investor in the company.

International Business Times · Sep 2

SEC Probe Puts Wall Street Leverage Risk Back in Focus

SEC subpoenas Goldman Sachs, JPMorgan, Citigroup and Bank of America over margin lending to hedge fund Situational Awareness, which suffered a 67% drawdown amid an AI stock sell-off.

MarketBeat · Aug 27

Bitcoin's Best August Since 2017 Remains 38% Below October Record

The factors behind Bitcoin's recent 22.6% surge to $78,729 include market dynamics and investor challenges; learn why those who bought at last year's peak still face a 60% climb to break even.

International Business Times UK · Aug 26

SEC makes shareholder proposal no-action pause permanent

The Securities and Exchange Commission's (SEC) Division of Corporation Finance announced on Aug. 14, 2026, that it will permanently stop responding to no-action requests under Rule 14a-8. The rule governs when shareholders may place proposals on a company's proxy ballot and when companies may exclude them.

Ballotpedia · Aug 24

SpaceX Pre-IPO Fraud: SEC Charges Adit Ventures Over Alleged Misconduct — CEO Eric Munson Rejects Allegations 'Completely’

The Securities and Exchange Commission Monday charged Adit Ventures Management LLC, CEO Eric Munson, and three affiliated general partners with defrauding investors through pre-IPO investments, including Space Exploration Technologies Corp. (NASDAQ:SPCX) and Klarna Group PLC (NYSE:KLAR).

Benzinga · Aug 11

Bitkub in SEC sights over hack

The Securities and Exchange Commission (SEC) submitted additional evidence to police over allegations Bitkub Online concealed a 2021 digital asset hack worth 1.7 billion baht.

Bangkok Post · Aug 5

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International Business Times · Aug 4

Trump's Memecoin May Be An 'Illegal Scam,' Sen. Warren Warns. She Wants The SEC To Investigate

Two Democratic senators want the SEC to investigate whether Donald Trump's memecoin was used for fraud or unjust enrichment, even as the agency maintains that ordinary memecoins generally fall outside federal securities laws.

The Conversation · Aug 3

Nigeria’s new digital economy rules leave gaps in crypto regulation – financial law expert explains

Nigerian president Bola Tinubu signed an executive order in mid-2026 aimed at harmonising the country’s oversight of the digital economy. The press statement said the order was responding “to a regulatory environment that has become fragmented as virtual assets increasingly blur the traditional boundaries between currencies, money, commodities and securities”.…

Bangkok Post · Jul 27

Investor data breach cues SEC action

The Securities and Exchange Commission (SEC) is monitoring Thailand Securities Depository Co (TSD) after the country's central securities depository detected unauthorised access to personal data stored on its TSD Investor Portal.

Bangkok Post · Jul 27

TSD investor data breach cue for SEC action

The Securities and Exchange Commission (SEC) is monitoring Thailand Securities Depository Co (TSD) after the central securities depository detected unauthorised access to personal data stored on its TSD Investor Portal.

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Bangkok Post · Jul 25

Criminal complaint filed in share-reporting case

The Securities and Exchange Commission (SEC) has filed a criminal complaint against a heretofore unknown investor for allegedly submitting false disclosure forms claiming ownership and trading of billions of baht worth of shares in six listed companies.

Bangkok Post · Jul 23

SEC files criminal complaint over Bitkub's alleged concealment of B1.7bn hack

The Securities and Exchange Commission (SEC) has filed a criminal complaint against Bitkub Online Co and two of its former directors, alleging they submitted false information to the regulator to conceal a cyberattack that resulted in the theft of digital assets worth about 1.7 billion baht.

Ballotpedia · Jul 23

SEC chairman suggests no-action pause could continue

Securities and Exchange Commission (SEC) Chairman Paul Atkins said the agency may continue suspending most no-action letters for shareholder proposal disputes beyond the current proxy season. Speaking on July 9 at the Society for Corporate Governance National Conference in Nashville, Tennessee, Atkins said the policy change caused fewer disruptions than…

Bangkok Post · Jul 14

SEC mulls change to self-reporting

The Securities and Exchange Commission (SEC) is considering reviewing its shareholder disclosure framework to strengthen investor confidence and avoid a repeat of the recent incorrect self-declared reporting that involved True Corporation.

Bangkok Post · Jul 12

SEC filings need review

Confidence in Thailand's capital market has been shaken again after the name of an obscure individual, Supaporn Phimpong, appeared in Securities and Exchange Commission (SEC) filings as the reported owner of a 7% stake in True Corporation. True executives said they were unaware of such a shareholder.

International Business Times · Jul 9

Crypto Bill Fight Moves Back To The Senate As White House Rejects Claims It Is Refusing To Make Nominations For Key Appointments

The White House pushed back Thursday against claims that it has refused to nominate Democratic commissioners to key financial regulators, adding another dispute to the debate over U.S. cryptocurrency rules as the Senate prepares to return from recess.

Bangkok Post · Jul 9

SEC expands self-reporting probe

The Securities and Exchange Commission (SEC) is widening its investigation into whether false information reports linked to Supaporn Phimpong were intentionally submitted to the electronic reporting system, which is a violation of securities law.

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