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 announced today that Paul G. Cellupica has been named Deputy Director of the agency's Division of Investment Management.
Mr. Cellupica will oversee a number ...
The Securities and Exchange Commission today announced the agenda and panelists for the 36th Annual Government-Business Forum on Small Business Capital Formation.
The November 30 event will begi...
In its ongoing efforts to protect Main Street investors, the Securities and Exchange Commission’s Enforcement Division today issued a report highlighting its priorities for the coming year as well ...
The Securities and Exchange Commission today announced the formation and first members of its Fixed Income Market Structure Advisory Committee.
The committee, whose initial focus will be on the ...
The Securities and Exchange Commission is warning investors to beware online “paid-to-click” scams that promise an easy payday by merely purchasing a membership or an advertising product up front a...
SEC Litigation Releases (Full Page)
Inofin, Inc., Michael J. Cuomo, Kevin J. Mann, Sr., Melissa George, Thomas Kevin Keough, David Affeldt, and Nancy Keough
Court Enters Final Judgment Against Massachusetts Company Responsible for Large Scale Securities Fraud
Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffery A. Curran, and Waldemar Grab
Court Orders Oil and Gas Company to Pay Penalties for Accounting Fraud
SEC Charges Individual and His Company with Operating an Unregistered Dealer Business
SEC Obtains Final Judgments Against Defendants in Ponzi Scheme Involving Loans to Professional Athletes
SEC Charges Broker and His Company for Failure to Register
SEC Trading Suspensions (Full Page)
FINRA Rule Making (Full Page)
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4)
Proposed Rule Change to Amend FINRA Rule 6121 to Reflect Recent Amendments to the Regulation NMS Plan to Address Extraordinary Market Volatility
Proposed Rule Change to Amend Section 13 of Schedule A to the FINRA By-Laws Relating to the Review Charges for Communications Filed with or Submitted to FINRA
SEC Administrative Proceedings (Full Page)
Banc of America Capital Management, LLC, Bacap Distributors, LLC and Banc of America Securities, LLC
Order Directing Disbursement of Fair Fund
Order Appointing Fund Administrator and Setting Administrator Bond Amount
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Order Directing Disbursement of Fair Fund
FINRA Press Releases (Full Page)
Changes Are Part of Ongoing FINRA360 Initiative
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced several changes to its advisory committees to increase transparency...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA extended hearing panel barred broker Hank Mark Werner of Northport, New York, for fraudulently churning...
FINRA Foundation and Filene Research Institute Provide Free Resources to Help Credit Unions and Employers Launch Small-Dollar Loan Program to Support Employee Financial Wellness
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) and the Filene Research Institute (Filene) today announced the availability of free resources to help credit unions and emplo...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Susan F. Axelrod will leave FINRA for other opportunities in the private sector after 28 years of service at th...
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued two Regulatory Notices requesting comment on two proposals related to its arbitration program: a proposal to expand the...
FINRA Regulatory Notices (Full Page)
SEC Approves the CAT Fee Dispute Resolution Process
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018
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