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 Litigation Releases (Full Page)

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SEC Trading Suspensions (Full Page)

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FINRA Rule Making (Full Page)

  • SR-FINRA-2021-010
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-012
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-011
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-014
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-013
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2021-024
    Financial Industry Regulatory Authority, Inc. Read more »
  • SR-FINRA-2022-015
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-025
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-019
    Financial Industry Regulatory Authority, Inc. Read more »
  • SR-FINRA-2022-033
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
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SEC Administrative Proceedings (Full Page)

  • Michael J. Assenza
    Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Read more »
  • Scott Wolfrum
    Extension Order Read more »
  • Satyajeet "Sunny" Mitra
    Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Read more »
  • Centaurus Financial, Inc., Ricky A. Mantei and Atul Makharia
    Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C… Read more »
  • Activision Blizzard, Inc.
    Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a… Read more »
  • Nathaniel Clay
    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial… Read more »
  • AMERITRUST CORPORATION
    Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Read more »
  • Poloniex, LLC
    Order Approving Plan of Distribution Read more »
  • Citigroup and Morgan Stanley
    Order Consolidating Fair Funds Read more »
  • Baxter International
    Second Extension Order Read more »
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FINRA Press Releases (Full Page)

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FINRA Regulatory Notices (Full Page)

  • Regulatory Notice 23-02
    Summary FINRA has adopted amendments to Rule 2231 (Customer Account Statements) to add eight new supplementary materials pertaining to: Read more »
  • Regulatory Notice 23-01
    Summary FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment… Read more »
  • Election Notice - 12/16/2022
    Executive Summary FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional… Read more »
  • Regulatory Notice 22-30
    Summary In support of the Securities and Exchange Commission’s re-proposal to amend Rule 15b9-1 under the Securities Exchange Act of… Read more »
  • Regulatory Notice 22-31
    Summary Member firms are required to make reasonable efforts to obtain the name of and contact information for a trusted… Read more »
  • Regulatory Notice 22-29
    Summary FINRA has received reports about increasing numbers and sophistication of ransomware incidents. Ransomware typically involves bad actors gaining unauthorized… Read more »
  • Regulatory Notice 22-28
    Summary FINRA has adopted amendments to the Rule 6700 series (Trade Reporting and Compliance Engine (TRACE)) to require members to… Read more »
  • Regulatory Notice 22-27
    Summary FINRA has adopted amendments to Rule 6730 (Transaction Reporting) to: (i) require members to report transactions in U.S. Treasury… Read more »
  • Regulatory Notice 22-26
    Summary FINRA requests comment on a proposal to provide additional transparency into delayed Treasury spot trades in corporate debt securities—i.e.,… Read more »
  • Information Notice - 11/21/22
    Summary The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 25, 2022 (the Friday… Read more »
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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