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The Latest Breaking News from Securities and Exchange Commission

Checks and Balances November 2022

The Checks and Balances Letter delivers news and information from Ballotpedia’s Administrative State Project, including pivotal actions at the federal and state levels related to the separation of powers, due process, and the rule of law.

Ballotpedia

Asia Wealth Securities suspended from all business

The Securities and Exchange Commission on Tuesday ordered Asia Wealth Securities to cease all its operations after its net capital fell below zero for more than 5 business days.

Bangkok Post

Asia Wealth Securities suspended from doing business

The Securities and Exchange Commission has suspended Asia Wealth Securities Co from doing business for alleged use of clients' money without their consent.

Bangkok Post

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As SEC works to finalize climate rule, both sides make their case

WASHINGTON — Supporters and opponents of climate-related financial risk disclosure made a last push to influence the Securities and Exchange Commission as the agency works on finalizing its controversial rule, a process that could take months.

Tribune News Service

Over a million customer crypto accounts at risk as Binance abandons FTX acquisition

The US Securities and Exchange Commission is reported to be expanding its investigation into the beleaguered crypto exchange

Evening Standard

Supreme Court signals it may allow court challenges to SEC, FTC

The U.S. Supreme Court signaled it may open a new avenue for companies and people to fight off complaints by the Securities and Exchange Commission and Federal Trade Commission, hearing arguments in cases that could undercut the clout of two powerful market regulators.

Tribune News Service

Expected Financial Services chair found consensus with Democrats - Roll Call

Democrats said Rep. Patrick T. McHenry, R-N.C., expected Financial Services Committee chair, has sought to find bipartisan consensus.

Roll Call

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4 Mortgage REITs With Temptingly High Dividend Yields

Real estate investment trusts (REITs) are some of the best options for investors looking to generate stable dividend income. This is because publicly traded REITs are required to distribute at least 90% of their taxable income to shareholders annually, as per Securities and Exchange Commission (SEC) rules.

Benzinga

Major shareholders in digital asset ventures need SEC nod

Digital asset businesses are now subject to seeking the approval of the Securities and Exchange Commission (SEC) if they are set to have a major shareholder, the Thai regulator said on Monday.

Bangkok Post

Economy and Society, October 25, 2022: Missouri latest state to divest BlackRock funds over ESG

Economy and Society is Ballotpedia’s weekly review of the developments in corporate activism; corporate political engagement; and the Environmental, Social, and Corporate Governance (ESG) trends and events that characterize the growing intersection between business and politics.

Ballotpedia

SEC Charges Canada's Cronos Group And Former CCO William Hilson With Accounting Fraud

Cronos Group, Inc, (NASDAQ: CRON) announced that it had reached final settlement agreements with each of the U.S.

Benzinga

'Worth The Fight:' Ripple Labs Hopes Newly Attained Documents Get SEC Off Its Back

In its first leg of victory against the Securities and Exchange Commission (SEC), Ripple Labs has handed over crucial documents that will aid in its conflict against the watchdog, which asserts that the company's (CRYPTO: XR

Benzinga

Economy and Society, October 18, 2022: South Carolina to divest BlackRock funds over ESG

Ballotpedia

Trump pressured Truth Social executives to hand over their shares to Melania, co-founder claims

Former president set up social media platform after being banned by Facebook and Twitter after January 6

The Independent UK

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Benzinga

SEC Charges 6 Individuals, 2 Companies For Cannabis Stock Promotion Scheme

On September 30, the Securities and Exchange Commission (SEC) announced that it had charged 6 individuals and 2 companies for the involvement in a stock promotion scheme that included Emerald Health Pharmaceuticals, Elegance Brands Inc.

Tribune News Service

Kim Kardashian to pay $1.3 million to SEC for crypto touting

Kim Kardashian will pay $1.26 million to settle Securities and Exchange Commission allegations that she broke US rules by touting a crypto token without disclosing she was paid for the promotion.

Bangkok Post

Kim Kardashian pays $1.26m for unlawful crypto promo

WASHINGTON: US reality star Kim Kardashian has agreed to pay a $1.26 million fine after unlawfully pushing a cryptocurrency on Instagram without revealing that she was paid to do so, the Securities and Exchange Commission announced Monday.

AFP

Kim Kardashian pays $1.26 mn for unlawful crypto promo

Washington (AFP) - US reality star Kim Kardashian has agreed to pay a $1.26 million fine after unlawfully pushing a cryptocurrency on Instagram without revealing that she was paid to do so, the Securities and Exchange Commission announced Monday.

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The Independent UK

Kim Kardashian settles with SEC over crypto promotion

Kim Kardashian has agreed to settle charges brought by the Securities and Exchange Commission and pay $1.26 million because she promoted on social media a crypto asset security offered and sold by EthereumMax without disclosing the payment she received for the plug

Bangkok Post

SEC announces lawsuits for 'wash trading'

The Securities and Exchange Commission (SEC) is taking legal action against five entities for creating an artificial volume of digital assets on Bitkub and Satang cryptocurrency exchanges.

AFP

US fines 16 Wall Street firms $1.1 bn for lax recordkeeping

New York (AFP) - US regulators fined 16 Wall Street firms a total of $1.1 billion over failures to keep electronic records such as text messages between employees, the Securities and Exchange Commission announced Tuesday.

Bangkok Post

SEC to supervise digital asset custodians

The Securities and Exchange Commission (SEC) has added digital asset custodian as a business under its supervision to standardise preservation of digital assets and increase investor protection.

Bangkok Post

Arkhom calls for study of loopholes related to forex

Finance Minister Arkhom Termpittayapaisith has asked the Securities and Exchange Commission (SEC) and the Bank of Thailand to examine any legal loopholes to prevent recurring cases of foreign exchange Ponzi schemes.

Bangkok Post

Chaiwut puts blame on SEC for scam spike

The Securities and Exchange Commission (SEC) is failing to adequately monitor firms offering new investment schemes, says Minister for Digital Economy and Society, Chaiwut Thanakamanusorn.

Bangkok Post

B2.7m fine imposed on True executive for insider trading

The Securities and Exchange Commission has imposed a fine of 2.7 million baht on an executive at True Corporation (True) for insider trading.

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