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)

SEC Chairman Jay Clayton today issued a statement highlighting the importance of cybersecurity to the agency and market participants, and detailing the agency’s approach to cybersecurity as an orga...

The Securities and Exchange Commission today announced that Thomas J. Butler has been named an Associate Regional Director for the Investment Adviser and Investment Company examination program in t...

The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading in company stock by using secret brokerage accounts held in t...

The Securities and Exchange Commission today announced that Catherine McGuire, Counsel in the Division of Trading and Markets, is retiring after 44 years at the SEC.

Ms. McGuire has received mo...

The Securities and Exchange Commission today announced that Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in the New York Regional Office, is planning to leave th...

SEC Litigation Releases (Full Page)

Businessman Charged With Stealing Investor Funds for Packers Tickets
CEO Charged with Using Secret Accounts for Insider Trading in Company Stock
SEC Obtains Final Judgment Against Entities Used to Perpetrate Multimillion Dollar Ponzi Scheme
SEC Charges Alleged Tipper in Insider Trading Case Involving Intel-Mobileye Merger
Former PricewaterhouseCoopers Auditor and Relative Charged with Insider Trading

SEC Trading Suspensions (Full Page)

FINRA Rule Making (Full Page)

Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
Proposed Rule Change to Implement a New Electronic Form 211
Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Gov...
Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settle...
Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator

SEC Administrative Proceedings (Full Page)

Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, 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
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to GEI Global Energy Corp.
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
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)

FINRA Committed to Enhancing Diversity of Arbitrator and Mediator Pool; Providing Greater Transparency into Arbitrator Demographic Makeup

But Credit Card Debt and Underwater Mortgages Weigh Heavily on Vets

WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today released a new study that shows veterans are farin...

University of Wisconsin-Madison Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S.

WASHINGTON — The FINRA Investor Educat...

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA extended hearing panel censured Albany, NY-based broker-dealer C.L. King & Associates, Inc. and fined t...

WASHINGTON — The Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) today announced the opening of regist...

FINRA Regulatory Notices (Full Page)

Upcoming Election to Fill FINRA District Committee Vacancies
FINRA Small Firm Advisory Board Election
Guidance to Members Affected by Hurricane Harvey
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council

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