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 The Intercontinental Exchange, Inc. (ICE) agreed to pay a $10 million penalty to settle charges that it caused the failure of nine wholly
Posted: May 22, 2024, 1:00 pm
Securities and Exchange Commission Chair Gary Gensler today issued the following statement on the conversion of the U.S. securities market to a T+1 standard settlement cycle, which will take place
Posted: May 21, 2024, 7:28 pm
The Securities and Exchange Commission today provided exemptive relief to certain registrants affected by the permanent suspension of BF Borgers CPA PC and its owner, Benjamin F. Borgers (together,
Posted: May 20, 2024, 9:29 pm
The Securities and Exchange Commission today announced that Policy Director Heather Slavkin Corzo will leave the agency. Corey Klemmer, most recently the Corporation Finance Counsel to Chair Gary G
Posted: May 17, 2024, 2:30 pm
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. Ms. Diamant
Posted: May 16, 2024, 2:30 pm
The Securities and Exchange Commission today announced the adoption of amendments to Regulation S-P to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal inf
Posted: May 16, 2024, 12:30 pm
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. The ne
Posted: May 15, 2024, 4:49 pm
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and rec
Posted: May 14, 2024, 6:53 pm
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover
Posted: May 14, 2024, 4:00 pm
Today the Securities and Exchange Commission and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would require SEC-registered in
Posted: May 13, 2024, 3:00 pm
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. Poerio, Jr. with insider trading for misappropriating material, nonpublic information concerning Dick’s Sporting
Posted: May 10, 2024, 12:22 pm
The Securities and Exchange Commission today announced that Nathaniel H. Benjamin has been appointed the Director of the Office of Minority and Women Inclusion (OMWI). Mr. Benjamin will join OMWI f
Posted: May 3, 2024, 9:13 pm
The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. Borgers (together, “Respondents”), with deliberate and systemic failures to comply with
Posted: May 3, 2024, 12:45 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discussion
Posted: April 25, 2024, 6:17 pm
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. Th
Posted: April 24, 2024, 2:03 pm
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16,
Posted: April 17, 2024, 6:45 pm
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequen
Posted: April 17, 2024, 2:30 pm
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s char
Posted: April 12, 2024, 1:00 pm
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation du
Posted: April 4, 2024, 8:00 pm
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain
Posted: April 3, 2024, 6:33 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.