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 Peter Uhlmann has been named the managing executive in the Office of Chairman Jay Clayton. Mr. Uhlmann will advise Chairman Clayton in ma...

The Securities and Exchange Commission today announced charges in an alleged insider trading scheme involving tips of nonpublic information about government plans to cut Medicare reimbursement rate...

The Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB) today announced a joint educational webinar to assist municipal advisors with understanding their p...

The Securities and Exchange Commission today filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock by making a phony regulator...

The Securities and Exchange Commission today announced that David L. Peavler, Associate Director of Enforcement in the Fort Worth Regional Office, is leaving the agency this month after more than 1...

SEC Litigation Releases (Full Page)

Settlement Concluded With One Defendant in SEC Case Against Former Nomura Traders
SEC Obtains Final Judgments Against Connecticut-Based Investment Adviser and CEO for Failure to Disclose Fees to Clients
SEC Obtains Final Judgment Ordering Promoter of Pyramid Scheme to Pay Over $1.8 Million
Commission Obtains Judgment Against and Imposes Industry Bar on New Jersey Resident for Securities Fraud
Ponzi Scheme Operator Sentenced to Prison in Parallel Criminal Case

SEC Trading Suspensions (Full Page)

FINRA Rule Making (Full Page)

Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge
Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New End-of-Day TRACE Transaction File
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities

SEC Administrative Proceedings (Full Page)

Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Section...
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Ciralight Global, Inc.
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 of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice

FINRA Press Releases (Full Page)

WASHINGTON—The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its Special Meeting on May 19, 2017, to elect one Large-Firm Governor to the FINRA ...

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing outside business activities and private securities transactions as part of a new retr...

Next Step in an Ongoing Program to Protect Investors

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA's ongoing initiative to str...

WASHINGTON — Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Autho...

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued the following statement on the confirmation of Walter J. “Jay” Clayton III as Chairman of the Securities and Exchange C...

FINRA Regulatory Notices (Full Page)

Executive Summary

The annual meeting of FINRA firms will take place on or about Tuesday, August 22, 2017, to elect one Small Firm Governor, and one Large Firm Governor to the FINRA Board of Govern...

FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade ...
Notice of Special Meeting of Large Firms and Proxy
Guidance on Social Networking Websites and Business Communications

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