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UNCOVERED: The securities and exchange commission | History Defined

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

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

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

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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

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

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

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

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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

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

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

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

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

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.

Bangkok Post

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

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Bangkok Post

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.

Bangkok Post

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.

International Business Times

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

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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Bangkok Post

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

Digital asset reform to be debated at SEC public hearing

The Securities and Exchange Commission (SEC) has launched a public hearing on introducing the Travel Rule for digital assets, a move aimed at improving the traceability of digital asset transactions and bringing the country's regulatory framework into line with international standards.

Fortune

Sam Altman was ‘0%’ excited to be a CEO of a public company—but OpenAI is taking steps to compete in the AI IPO blitz anyway

OpenAI filed preliminary confidential paperwork with the Securities and Exchange Commission, setting the stage for an imminent IPO.

The Free Financial Advisor

SEC Says Advisor Fee Conflicts Are Still Showing Up: 6 Form ADV Lines Investors Should Review

Choosing a financial advisor often feels like hiring a guide for a long road trip. Most investors focus on credentials, experience, and personality, but another factor deserves just as much attention: how that advisor gets paid. The Securities and Exchange Commission recently highlighted ongoing concerns about economic conflicts of interest…

Ballotpedia

SEC formally proposes rescinding Biden-era climate disclosure rule

The Securities and Exchange Commission (SEC) formally proposed rescinding its 2024 climate-risk disclosure rule on May 29, 2026. SEC Chair Paul Atkins directed the proposal, which states that the 2024 rules are "a dramatic overreach of the Commission's statutory authority and, independently, unsound as a matter of policy."

The Independent UK

Supreme Court upholds broad reading of SEC authority to recoup ill-gotten gains in fraud cases

The Supreme Court has upheld a broad reading of the authority of the Securities and Exchange Commission to recoup ill-gotten gains from people who engage in securities fraud

Bangkok Post

SEC to launch targeted crackdown on financial crime

The Securities and Exchange Commission (SEC) is rolling out one of its most significant anti-financial crime initiatives in recent years, aiming to close loopholes that fraudsters, money launderers and cybercriminals could exploit to channel illicit funds through Thailand's capital markets.

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