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 it has voted to propose rule amendments to establish an expedited review procedure for applications under the Investment Company Act that
Posted: October 18, 2019, 6:00 pm
The Securities and Exchange Commission and Morehouse College will co-host a panel discussion on strategies to attract investment capital to minority businesses from 4 - 7 p.m. ET on Thursday, Oct.
Posted: October 17, 2019, 8:11 pm
The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to improve the secondary market structur
Posted: October 17, 2019, 3:46 pm
The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against 18 traders in a scheme to manipulate more than 3,000 U.S.-listed securities for over $31 mi
Posted: October 16, 2019, 8:03 pm
The Securities and Exchange Commission today announced several teacher investment outreach efforts in connection with its Teachers Initiative.  These initiatives include the launch of a podcast ser
Posted: October 15, 2019, 6:45 pm
The Securities and Exchange Commission today announced that Domenick Migliorato, a former supervisor of the securities lending desk at Industrial and Commercial Bank of China Financial Services LLC
Posted: October 15, 2019, 5:30 pm
The Securities and Exchange Commission today announced that Robert Burson, an Associate Regional Director of Enforcement in the Chicago Regional Office, is retiring after 29 years at the agency, al
Posted: October 15, 2019, 3:30 pm
The Securities and Exchange Commission today announced that it has filed an emergency action and obtained temporary restraining order against two offshore entities conducting an alleged unregistere
Posted: October 11, 2019, 8:50 pm
The Securities and Exchange Commission today announced the appointment of Rebekah Goshorn Jurata as a Board member of the Public Company Accounting Oversight Board (PCAOB) for a term ending October
Posted: October 11, 2019, 8:00 pm
The Securities and Exchange Commission today announced that Kathleen M. Hamm will leave the Public Company Accounting Oversight Board (PCAOB) after completing her term as a Board member. Ms. Hamm’s
Posted: October 11, 2019, 7:40 pm
The SEC’s Office of Investor Education and Advocacy and Retail Strategy Task Force this week released new videos and Investor Alerts to help show investors what fraud looks like. Fraudsters will us
Posted: October 11, 2019, 4:30 pm
The Securities and Exchange Commission today announced the formation of its Asset Management Advisory Committee. The committee was formed to provide the Commission with diverse perspectives on ass
Posted: October 9, 2019, 6:00 pm
Five federal financial regulatory agencies on Tuesday announced that they finalized revisions to simplify compliance requirements relating to the “Volcker rule.”  By statute, the Volcker rule gener
Posted: October 8, 2019, 8:30 pm
The Securities and Exchange Commission today announced that Katharine E. Zoladz has been named Associate Regional Director for enforcement in the Los Angeles Regional Office. Ms. Zoladz succeeds Jo
Posted: October 8, 2019, 5:36 pm
On October 1, 2019, a federal court judge entered final judgments against New York-based brokerage firm Lek Securities Corp. and Chief Executive Officer Sam Lek, who were charged by the Securities
Posted: October 2, 2019, 6:30 pm
The Securities and Exchange Commission today proposed to require an amendment to a national market system plan (NMS plan) that would establish or change a fee or other charge (Proposed Fee Change)
Posted: October 1, 2019, 9:23 pm
The Securities and Exchange Commission today announced that during World Investor Week staff will participate in more than 50 events around the country encouraging individuals to start early to sav
Posted: October 1, 2019, 1:30 pm
The Securities and Exchange Commission today announced settled charges against blockchain technology company Block.one for conducting an unregistered initial coin offering of digital tokens (ICO) t
Posted: September 30, 2019, 10:25 pm
The Securities and Exchange Commission today charged SBB Research Group, LLC, a Chicago-area hedge fund adviser and its two top executives with a multi-year fraud that inflated fund values. Accord
Posted: September 30, 2019, 8:02 pm
The Securities and Exchange Commission today announced settled charges against 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices. The firms
Posted: September 30, 2019, 4:35 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.