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 an award of approximately $2 million to a whistleblower who provided vital information and assistance that substantially contributed to an ong
Posted: April 3, 2020, 3:55 pm
Five federal financial regulatory agencies today announced that they will consider comments submitted before May 1, 2020, on their proposal to modify the Volcker rule’s general prohibition on banki
Posted: April 2, 2020, 3:30 pm
The Securities and Exchange Commission has obtained a final judgment against Christian concert promoter Jeffrey E. Wall, of Freeport, Maine, and his business, The Lighthouse Events LLC. The Commis
Posted: April 1, 2020, 4:00 pm
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation is hosting a series of virtual coffee breaks to engage with the public to discuss updates, trend
Posted: March 31, 2020, 9:15 pm
The Securities and Exchange Commission today announced that its Small Business Capital Formation Advisory Committee will host a meeting via video conference on April 2, 2020, in response to the cha
Posted: March 31, 2020, 6:35 pm
The Securities and Exchange Commission today announced an award of $450,000 to a whistleblower whose significant information helped focus an ongoing investigation on the violations that were ultima
Posted: March 30, 2020, 3:35 pm
Today, the Securities and Exchange Commission announced that it is providing additional temporary regulatory relief to market participants in response to the effects of the Coronavirus Disease 2019
Posted: March 27, 2020, 12:00 am
Today, the Securities and Exchange Commission announced that it is extending the filing periods covered by its previously enacted conditional reporting relief for certain public company filing obli
Posted: March 25, 2020, 12:30 pm
The Securities and Exchange Commission today announced charges against Justin W. Keener d/b/a JMJ Financial for failing to register as a securities dealer with the SEC. Keener allegedly bought and
Posted: March 24, 2020, 8:13 pm
The Securities and Exchange Commission today announced awards totaling over $570,000 to two whistleblowers who provided significant information and assistance that helped the Commission bring multi
Posted: March 24, 2020, 5:35 pm
The Securities and Exchange Commission today announced temporary flexibility for registered funds affected by recent market events to borrow funds from certain affiliates and to enter into certain
Posted: March 24, 2020, 1:30 am
The Securities and Exchange Commission today announced an award of more than $1.6 million to a whistleblower whose information tipped the agency to securities law violations and helped form part of
Posted: March 23, 2020, 3:50 pm
The Securities and Exchange Commission today announced that it is providing conditional regulatory relief for registered transfer agents and certain other persons with regulatory obligations under
Posted: March 22, 2020, 7:00 pm
The U.S. Securities and Exchange Commission noticed for immediate effectiveness a proposed rule filing submitted by New York Stock Exchange LLC (NYSE) to facilitate electronic auctions in light of
Posted: March 21, 2020, 10:00 pm
The Securities and Exchange Commission today announced that it has obtained an asset freeze and other emergency relief to halt an ongoing securities fraud perpetrated by a former state senator and
Posted: March 20, 2020, 6:55 pm
Today, jurors in New Haven, Connecticut, federal court returned a verdict in the Securities and Exchange Commission's favor against an investment adviser and its owner. The jury found that Westpor
Posted: March 16, 2020, 8:28 pm
The U.S. Securities and Exchange Commission noticed for immediate effectiveness a proposed rule filing submitted by Cboe Exchange, Inc. to facilitate the continued operation of Cboe's options excha
Posted: March 15, 2020, 12:12 am
The Securities and Exchange Commission today announced regulatory relief for funds and investment advisers whose operations may be affected by the coronavirus.  The relief provided today covers in-
Posted: March 13, 2020, 11:30 pm
The Securities and Exchange Commission today announced that the SEC staff has published guidance to assist public companies, investment companies, shareholders, and other market participants affect
Posted: March 13, 2020, 9:07 pm
The Securities and Exchange Commission today announced charges against Denis Georgiyevich Sotnikov and entities he controlled for allegedly participating in a fraudulent scheme to lure U.S. investo
Posted: March 13, 2020, 8:05 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.