News from the SEC

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 dedicated to Press Releases by the Securities Exchange Commission (SEC).  Additionally, links to our individual news topics pages are available in the footer table at the bottom of all our pages. Additional information on Coral Capital Partners and the services we provide may be found at the bottom of this page.

The Securities and Exchange Commission today released the agenda for the Dec. 1 meeting of the Asset Management Advisory Committee (AMAC).  AMAC was formed to provide the Commission with diverse pe
Posted: November 25, 2020, 2:29 pm
The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on Dec. 3 by remote means. The meeting will begin at 10 a.m. ET, is open to the public via live webca
Posted: November 24, 2020, 9:45 pm
The Securities and Exchange Commission today announced that it has voted to propose amendments to Securities Act Rule 701, which provides an exemption from registration for the issuance of compensa
Posted: November 24, 2020, 4:46 pm
The Securities and Exchange Commission today voted to propose rules that, on a temporary basis and subject to percentage limits (no more than 15% of annual compensation), dollar limits (no more tha
Posted: November 24, 2020, 4:44 pm
The Securities and Exchange Commission today issued a Policy Statement and Guidance focused on central counterparties (CCPs) authorized under the European Markets Infrastructure Regulation (EMIR) t
Posted: November 23, 2020, 10:15 pm
The Securities and Exchange Commission today charged a San Francisco-based e-commerce startup and its chief executive officer with misleading investors about purported contracts with well-known con
Posted: November 23, 2020, 8:19 pm
The Securities and Exchange Commission today announced that it has voted to adopt amendments that will modernize, simplify and enhance certain financial disclosure requirements in Regulation S-K. T
Posted: November 19, 2020, 8:02 pm
The Securities and Exchange Commission today announced that Lourdes Caballes and Michael Rufino have been named Associate Directors of the Office of Compliance Inspections and Examinations (OCIE) B
Posted: November 19, 2020, 7:00 pm
The Securities and Exchange Commission today announced an award of over $900,000 to a whistleblower who identified securities law violations occurring overseas. The whistleblower's timely and impor
Posted: November 19, 2020, 4:08 pm
The Securities and Exchange Commission today announced that it has named Marie-Louise (Malou) Huth as an Associate General Counsel for Legal Policy in the Office of the General Counsel (OGC). As an
Posted: November 18, 2020, 4:00 pm
The Securities and Exchange Commission today voted to adopt rules and rule amendments that will provide additional flexibility in connection with documents filed with the Commission by permitting t
Posted: November 17, 2020, 8:32 pm
The Working Group on Bribery of the Organisation for Economic Co-operation and Development (OECD Working Group) issued its Phase 4 Report of the United States today, announced the Securities and Ex
Posted: November 17, 2020, 5:02 pm
Jay Clayton, Chairman of the Securities and Exchange Commission, confirmed today that after serving for more than three and a half years, he will conclude his tenure at the end of this year.  Chai
Posted: November 16, 2020, 12:30 pm
The Securities and Exchange Commission today announced an award of over $1.1 million to a whistleblower whose independent analysis led the staff to look at new conduct during an ongoing investigati
Posted: November 13, 2020, 5:30 pm
The Securities and Exchange Commission today filed settled actions against three investment advisory firms and two dually-registered broker-dealer and advisory firms for violations that related to
Posted: November 13, 2020, 4:00 pm
The Securities and Exchange Commission today charged former Wells Fargo & Co. CEO and Chairman John G. Stumpf and former head of Wells Fargo’s Community Bank Carrie L. Tolstedt for their roles in a
Posted: November 13, 2020, 2:00 pm
The Securities and Exchange Commission today announced that it has named Mike Willis as an Associate Director in the Division of Economic and Risk Analysis (DERA). Mr. Willis will lead DERA’s newly
Posted: November 12, 2020, 7:00 pm
The Securities and Exchange Commission today voted to publish a notice of a substituted compliance application by Germany’s Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) as well as a prop
Posted: November 9, 2020, 9:24 pm
The Securities and Exchange Commission today announced two separate whistleblower awards for total payments of over $4.3 million. In the first order, the Commission awarded a whistleblower over $3
Posted: November 5, 2020, 3:50 pm
Today the Securities and Exchange Commission announced the appointment of Renee LaRoche-Morris, Chief Operating Officer, BNY Mellon Investment Management, as a new member of the Asset Management Ad
Posted: November 4, 2020, 8:30 pm

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.