Coral Capital Partners – Newsroom

Coral Capital Partners provides to the visitors to our web site a variety of news feeds on topics of interest in the finance and securities industries.  This page is our consolidated news feed.  We have provided a limited number (5) headlines per agency or topic on page.  The full headline content per agency or topic is available on the link to its own separate page by clicking on the (Full Page) text following each agency or topic title.  Additionally, links to these individual pages are available in the footer table at the bottom of all our pages.

SEC Press Releases (Full Page)

The Securities and Exchange Commission today announced that Danae M. Serrano has been named the agency’s Ethics Counsel. Ms. Serrano has served as Acting Ethics Counsel since December 2018. 

"Dana...

The Securities and Exchange Commission today announced awards totaling $50 million to two whistleblowers whose high-quality information assisted the agency in bringing a successful enforcement acti...

The Securities and Exchange Commission today announced that Jeffrey T. Dinwoodie has been appointed Senior Counsel and Policy Advisor for Market and Activities-Based Risk.  Chairman Jay Clayton has...

The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated will pay over $8 million to settle charges of improper handling of “pre-released” Amer...

The Securities and Exchange Commission today voted to propose rule amendments to implement certain provisions of the Small Business Credit Availability Act and the Economic Growth, Regulatory Relie...

SEC Litigation Releases (Full Page)

SEC Settles with Unregistered Public Shell Company Broker
SEC Charges Investment Adviser with Long-Running Fraud and Obtains Consent to Appoint Receiver to Preserve Investor Assets
SEC Settles with Multiple Defendants in Market Manipulation Case and Amends Complaint as to Thirteen Remaining Defendants
SEC Charges Investment Adviser with Stealing Millions from Investors to Perpetrate Ponzi Scheme
SEC's Case Against Pump-and-Dump Schemers Concludes

SEC Trading Suspensions (Full Page)

FINRA Rule Making (Full Page)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 7640B (Data Products...

Proposed Rule Change to Amend Capital Acquisition Broker (“CAB”) Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)

SEC Administrative Proceedings (Full Page)

Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposin...
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 4C, 15(b), and 21C of the Securities Exchange Act of 1934, and Rule 102(e)(1)(Iii) of the Commission's Rules ...
Notice That Initial Decision Has Become Final

FINRA Press Releases (Full Page)

Board Approves Rule Proposals, Engages with Boca Raton-Area Firms

Firm Required to Retain an Independent Consultant

WASHINGTON – FINRA announced today that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and super...

Fellows Provide Military Service Members and Their Families with Financial Counseling and Education Services While Earning Professional AFC® Credential

WASHINGTON — Starting today, the FINRA Invest...

Fines to be Waived for Firms Notifying FINRA by April 1; Initiative Stresses Restitution and Rapid Remediation

WASHINGTON –Institutional orders routed by brokers that send a relatively high percentage of such orders through affiliated alternative trading systems (ATSs) tend to receive lower order fill rates...

FINRA Regulatory Notices (Full Page)

FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
Guidance on FOCUS Reporting for Operating Leases
FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms

About Coral Capital:  Founded in 1995, Coral Capital Partners, Inc. is a consulting firm that provides services to investment banks, private equity, public and privately held companies. Our experienced team brings a diverse set of skills that allow us to service a wide variety of needs. Our clients have ranged from international public companies with operations on three (3) continents to smaller privately held domestic companies. The services provided has covered the spectrum of providing support services to other firms to leading and overseeing large multi-year projects.  Please visit our Services page for additional information on the services provided by Coral Capital Partners