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)

Five federal financial regulatory agencies today announced that they are coordinating their respective reviews of the treatment of certain foreign funds under section 619 of the Dodd-Frank Act, com...

The Securities and Exchange Commission today barred a New York-based attorney from appearing or practicing before it and acting as an officer or director of a public company after finding that he m...

The Securities and Exchange Commission today announced that Christopher R. Hetner will continue to serve as Senior Advisor to Chairman Jay Clayton for Cybersecurity Policy, having previously served...

The Securities and Exchange Commission today announced insider trading charges against a research scientist who allegedly searched the internet for “how sec detect unusual trade” before making a tr...

The Securities and Exchange Commission today brought fraud charges against 13 individuals allegedly involved in two Long Island-based cold calling scams that bilked more than one hundred victims ou...

SEC Litigation Releases (Full Page)

SEC Trading Suspensions (Full Page)

FINRA Rule Making (Full Page)

Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Proposed Rule Change to amend FINRA Rule 6730 (Transaction Reporting) to Provide a Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”))
Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)

SEC Administrative Proceedings (Full Page)

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 4C and 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Ad...
Order Instituting Public Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practic...
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of ...
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Order Appointing Tax Administrator

FINRA Press Releases (Full Page)

WASHINGTON — The Financial Industry Regulatory Authority has released guidance to help securities firms implement a new rule requiring enhanced price disclosure to retail investors for trades in co...

WASHINGTON — A new requirement for securities firms to report certain transactions in Treasury securities to FINRA was implemented successfully yesterday, providing regulators with a new tool to in...

Heyman to succeed Jack Brennan effective July 18

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors has unanimously elected as FINRA Chairman William H. Heyman, Vi...

Blockchain Symposium to Take Place in NYC on July 13

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has established an Innovation Outreach Initiative to f...

FINRA Regulatory Notices (Full Page)

Notice of Annual Meeting of FINRA Firms and Proxy
FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
Effective Date for Required Use of TRACE for Treasuries Modifiers

Summary

Effective July 4, 2017, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of ...

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