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 additional charges in an enforcement investigation involving the improper handling of American Depositary Receipts (ADRs) by a Wall Street fir

Posted: June 22, 2017, 3:10 pm

The Securities and Exchange Commission today announced that Robert Evans III has been named Deputy Director in the agency’s Division of Corporation Finance. He will join Deputy Director Shelley Par

Posted: June 20, 2017, 8:30 pm

The Securities and Exchange Commission today announced that Kelly L. Gibson has been named the Associate Regional Director for Enforcement in the SEC’s Philadelphia Office.  Ms. Gibson succeeds G.

Posted: June 20, 2017, 7:31 pm

The Securities and Exchange Commission today announced that Kathryn A. Pyszka has been named an Associate Regional Director for Enforcement in the SEC’s Chicago Office.  Ms. Pyszka succeeds Timothy

Posted: June 20, 2017, 7:30 pm

The Securities and Exchange Commission today announced that Keith E. Cassidy has been named Associate Director, Technology Controls Program, in the Office of Compliance Inspections and Examinations

Posted: June 15, 2017, 8:00 pm

The Securities and Exchange Commission today announced the agenda for the June 22 meeting of its Investor Advisory Committee. The meeting will begin at 10:00 a.m. in the Multipurpose Room at SEC he

Posted: June 14, 2017, 6:00 pm

The Securities and Exchange Commission today announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal prosecutor Steven Peikin have been named Co-Directors

Posted: June 8, 2017, 9:00 pm

The Securities and Exchange Commission today charged a Salt Lake City-based brokerage firm with securities law violations related to its alleged practice of clearing transactions for microcap stock

Posted: June 5, 2017, 5:21 pm

The Securities and Exchange Commission today announced that starting on July 4, 2017, the fee rates applicable to most securities transactions will be set at $23.10 per million dollars. 

Consequen

Posted: May 31, 2017, 4:10 pm

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

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.