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 issued two releases and the SEC staff released a Staff Accounting Bulletin to update interpretive guidance regarding revenue recognition.

Consistent wi...

The Securities and Exchange Commission today announced that broker Banca IMI Securities Corp. (BISC), an indirect, wholly-owned U.S. subsidiary of Italian bank Intesa Sanpaolo SpA, has agreed to pa...

The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading on confidential information about dozens of imp...

The Securities and Exchange Commission today announced that KPMG has agreed to pay more than $6.2 million to settle charges that it failed to properly audit the financial statements of an oil and g...

The Securities and Exchange Commission today charged two Tennessee men and an accomplice in Fort Lauderdale with allegedly defrauding investors they lured by false promises of high returns from an ...

SEC Litigation Releases (Full Page)

SEC Obtains Penalty and Bars in Consent Judgment Against CEO Charged with Scheme To Disguise Nature of Company Financing
SEC Uncovers Wide-Reaching Insider Trading Scheme
SEC Obtains Penalties and Bars Against Former Bankrate Executives
Video Game Companies and Their Principal Charged With Offering Fraud
SEC Charges Operator of $5.7 Million Ponzi Scheme That Claimed to Fund Investments in Cars with Display Advertisements

SEC Trading Suspensions (Full Page)

FINRA Rule Making (Full Page)

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 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 Relating to Revisions to the Definition of Non-public Arbitrator
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)

SEC Administrative Proceedings (Full Page)

Order Scheduling Oral Argument
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, a...

FINRA Press Releases (Full Page)

Restitution Ordered to Affected Customers

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled New York-based Hallmark Investments, Inc. and barred...

WASHINGTON – The FINRA Investor Education Foundation has awarded fellowships to 50 military spouses seeking to earn their AFC (Accredited Financial Counselor) designation to provide military servic...

Firms Will File Just Once to Report to Both Agencies

WASHINGTON – The Securities Investor Protection Corporation (SIPC) and the Financial Industry Regulatory Authority (FINRA) have announced a ser...

WASHINGTON — Four firms have been censured and fined a total of $4.75 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access ...

WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has promoted Susan Schroeder to Executive Vice President and Head of Enforcement. In addition, FINRA plans t...

FINRA Regulatory Notices (Full Page)

FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
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

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