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 proposed rules and amendments that would promote research on mutual funds, exchange‑traded funds, registered closed-end funds, business development comp...

The Securities and Exchange Commission today announced that the five-member Commission and staff from across the agency will be in Atlanta on June 13 for an interactive event with investors at Geor...

The Securities and Exchange Commission today announced fraud charges against three former Constellation Healthcare Technologies Inc. executives who falsified financial and other information they pr...

The Securities and Exchange Commission today charged the owner of a Manhattan-based alternative investment firm with misappropriating close to $6 million in investor funds earmarked to finance the ...

If you’ve ever been tempted to buy into a hot investment opportunity linked with luxury travel, the Securities and Exchange Commission has a deal for you.

Check out the SEC’s Office of Investor Ed...

SEC Litigation Releases (Full Page)

SEC Charges Microcap Executives With Defrauding Retail Investors
Former CFO of Investment Adviser To Pay $227,500 Penalty to Settle Fraud Case
Court Enters Final Judgment Against Florida Resident Charged with Market Manipulation Scheme
SEC Charges Brent Borland with Misappropriating Investor Assets

SEC Trading Suspensions (Full Page)

FINRA Rule Making (Full Page)

Proposed Rule Change Relating to District Committee Structure and Governance
Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
Proposed Rule Change Relating to Statutory Disqualification Application Fees
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036

SEC Administrative Proceedings (Full Page)

Amended Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Order Appointing Tax Administrator
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934

FINRA Press Releases (Full Page)

Awards Recognize Research by Undergraduate and Graduate Students in Economics, Psychology, Consumer Sciences and Social Work

WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation)...

Board Approves Rule Proposals and Previews Annual Financial Report

WASHINGTON – FINRA’s Board of Governors held its second meeting of 2018 on May 9-10 in New York, where it approved two new rule p...

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Industrial and Commercial Bank of China Financial Services LLC (ICBCFS) $5.3 million for systemic ...

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today it has fined Fifth Third Securities, Inc., $4 million and required the firm to pay approximately $2 million in resti...

One-year Report Lays out Changes through the Organizational Review

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released a comprehensive progress report summarizing the s...

FINRA Regulatory Notices (Full Page)

Upcoming FINRA Board of Governors Election
Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records

Summary

Effective May 22, 2018, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of ...

FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions

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