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 a $3.8 million award to a whistleblower who provided significant information that helped the SEC disrupt an ongoing fraudulent scheme.  The re
Posted: July 14, 2020, 7:15 pm
The Securities and Exchange Commission today announced charges against Thunderbird Power Corp., an Arizona-based company claiming to be developing a wind turbine technology, and three individuals f
Posted: July 14, 2020, 5:45 pm
The Securities and Exchange Commission today charged California-based Abra and a related firm in the Philippines for offering and selling security-based swaps to retail investors without registrati
Posted: July 13, 2020, 2:00 pm
The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to update the reporting threshold for institutional investment managers and make other targeted changes
Posted: July 10, 2020, 7:35 pm
The Securities and Exchange Commission today released the agenda for the virtual July 16 special meeting of the Asset Management Advisory Committee (AMAC). AMAC was formed to provide the Commission
Posted: July 8, 2020, 7:15 pm
The Securities and Exchange Commission today announced that it has voted to adopt rule amendments to establish an expedited review procedure for exemptive and other applications under the Investmen
Posted: July 6, 2020, 9:15 pm
The Securities and Exchange Commission today announced that Boston-based pharmaceutical company Alexion Pharmaceuticals Inc. has agreed to pay more than $21 million to resolve charges that it viola
Posted: July 2, 2020, 12:40 pm
The Securities and Exchange Commission today announced the agenda and panelists for the July 9, 2020 staff roundtable on investing in emerging markets, including China.  Further information, includ
Posted: July 1, 2020, 10:28 pm
The Securities and Exchange Commission today issued an order to update the filing threshold for broker-dealers’ Form 17-H filings made pursuant to Exchange Act Rules 17h-1T and Rule 17h-2T. The thr
Posted: June 29, 2020, 9:25 pm
The Securities and Exchange Commission announced today that it obtained court approval of settlements with Telegram Group Inc. and its wholly owned subsidiary TON Issuer Inc. to resolve charges tha
Posted: June 26, 2020, 8:13 pm
The Securities and Exchange Commission today charged NAC Foundation, its Chief Executive Officer Marcus Andrade, and political lobbyist Jack Abramoff with conducting a fraudulent, unregistered offe
Posted: June 25, 2020, 7:38 pm
The Securities and Exchange Commission today announced that Novartis AG, a global pharmaceutical and healthcare company headquartered in Basel, Switzerland, has agreed to pay over $112 million to s
Posted: June 25, 2020, 4:45 pm
Five federal regulatory agencies today finalized a rule modifying the Volcker rule’s prohibition on banking entities investing in or sponsoring hedge funds or private equity funds—known as covered
Posted: June 25, 2020, 4:01 pm
The Securities and Exchange Commission today announced settled charges against broker-dealer SG Americas Securities LLC for failing to provide complete and accurate securities trading information k
Posted: June 24, 2020, 3:30 pm
The Securities and Exchange Commission today announced an award of about $125,000 to a whistleblower whose information and assistance helped both the SEC and another agency bring successful actions
Posted: June 23, 2020, 3:25 pm
The Securities and Exchange Commission and the Department of Justice’s Antitrust Division have signed an interagency Memorandum of Understanding (MOU) to foster cooperation and communication betwee
Posted: June 22, 2020, 6:26 pm
Today, the Securities and Exchange Commission announced that it is extending conditional relief from the in-person voting requirements for fund boards that it originally provided in March 2020.  Th
Posted: June 19, 2020, 6:30 pm
The Securities and Exchange Commission today announced an award of almost $700,000 to a whistleblower whose significant information helped the agency bring a successful enforcement action that resu
Posted: June 19, 2020, 5:15 pm
The Securities and Exchange Commission today announced that it filed an emergency action and obtained a temporary restraining order and asset freeze against two Pennsylvania-based brothers and thre
Posted: June 19, 2020, 5:00 pm
The Securities and Exchange Commission today announced that Robert A. Sollazzo, the longtime leader of the New York Regional Office’s Broker-Dealer Examination Program, is planning to retire from t
Posted: June 19, 2020, 3:30 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.