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 announced that Peter Uhlmann has been named the managing executive in the Office of Chairman Jay Clayton. Mr. Uhlmann will advise Chairman Clayton in ma

Posted: May 25, 2017, 2:43 pm

The Securities and Exchange Commission today announced charges in an alleged insider trading scheme involving tips of nonpublic information about government plans to cut Medicare reimbursement rate

Posted: May 24, 2017, 2:50 pm

The Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB) today announced a joint educational webinar to assist municipal advisors with understanding their p

Posted: May 23, 2017, 6:45 pm

The Securities and Exchange Commission today filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock by making a phony regulator

Posted: May 19, 2017, 5:25 pm

The Securities and Exchange Commission today announced that David L. Peavler, Associate Director of Enforcement in the Fort Worth Regional Office, is leaving the agency this month after more than 1

Posted: May 19, 2017, 3:35 pm

The Securities and Exchange Commission today announced that Robert B. Stebbins has been named General Counsel of the agency.

The General Counsel is the chief legal officer of the agency, providing

Posted: May 15, 2017, 9:00 pm

The Securities and Exchange Commission today announced that Jaime Klima has been named Chief Counsel to Chairman Jay Clayton. 

As Chief Counsel, Ms. Klima will be senior legal and policy adviser,

Posted: May 15, 2017, 8:25 pm

The Securities and Exchange Commission today announced that Sean Memon has been named the agency's deputy chief of staff.

"Sean has proven to have extensive knowledge of financial regulation and c

Posted: May 15, 2017, 8:25 pm

The Securities and Exchange Commission today charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS) desk at Nomura Securities International Inc. with deliber

Posted: May 15, 2017, 2:50 pm

The Securities and Exchange Commission today announced that Lucas Moskowitz has been named the agency’s chief of staff. 

“Lucas’s diverse background in both the public and private sectors has give

Posted: May 11, 2017, 8:26 pm

The Securities and Exchange Commission today charged a former partner at an international law firm and his neighbor with making more than $1 million in illicit profits by insider trading around cor

Posted: May 11, 2017, 8:15 pm

Public companies must properly disclose perks, benefits, and other forms of compensation paid to CEOs and certain other highly compensated executive officers.  The Securities and Exchange Commissio

Posted: May 11, 2017, 3:55 pm

The Securities and Exchange Commission today announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual fund sales charges to clients who were overcharged.

In a s

Posted: May 10, 2017, 3:55 pm

The Securities and Exchange Commission today announced that William H. Hinman will be named the new director of the agency’s Division of Corporation Finance.

Mr. Hinman recently retired as a partn

Posted: May 9, 2017, 8:00 pm

The Securities and Exchange Commission today charged a former employee with securities fraud in connection with his trading of options and other securities.

The SEC’s complaint alleges that David

Posted: May 9, 2017, 4:55 pm

The Securities and Exchange Commission today announced the agenda for the May 10 meeting of its Advisory Committee on Small and Emerging Companies.  The committee will discuss the underwriting of s

Posted: May 5, 2017, 8:15 pm

Jay Clayton was sworn into office this afternoon by U.S. Supreme Court Justice Anthony M. Kennedy as the 32nd Chairman of the Securities and Exchange Commission.

"It is a tremendous honor to lead

Posted: May 4, 2017, 8:10 pm

The Securities and Exchange Commission today announced that a New Jersey-based firm and its CEO have agreed to pay more than $4 million to settle charges that they used new investor money to repay

Posted: May 4, 2017, 5:10 pm

The U.S. Securities and Exchange Commission staff today published a suite of new data and analyses of private fund statistics and trends.

The Private Funds Statistics, released quarterly since Oct

Posted: May 3, 2017, 7:44 pm

Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) hold t

Posted: May 3, 2017, 4:05 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.