For the Week of April 21st, 2017
Welcome to our blog that is dedicated to the variety of news announcements from the SEC and FINRA. We also take a look at various news from out sources relating to these agencies. I was traveling during March, and as a result, I missed a couple of weeks of the blog. As a result, this week’s edition looks back several weeks to our last blog article.
The full list of releases from the SEC and FINRA is available to visitors of our site through the links below. The actions that we have highlighted by listing them below, are those that have caught our attention for some particular reason; one that we will generally discuss.
SEC LITIGATION NEWS (Full List):
- SEC Freezes Brokerage Accounts Behind Alleged Insider Trading (more)
- SEC: Payments for Bullish Articles on Stocks Must Be Disclosed to Investors (more)
- SEC Adopts JOBS Act Amendments to Help Entrepreneurs and Investors (more)
- SEC Charges Muni Bond Underwriter with Gatekeeper Failures (more)
- SEC Announces Agenda for April 5th Meeting of the Equity Market Structure Advisory Committee (more)
- Court Enters Judgment in Unregistered Securities Offering (more)
SEC ADMINISTRATIVE NEWS (Full List):
- SEC Action Related to Inaccurate Financial Statements (more)
- SEC Action Against Shell Company Creator (more)
- SEC Action Regarding Stock Kickback Payments (more)
SEC TRADING SUSPENSIONS (Full List):
- Bingo Nation (more)
- Sunshine Capital (more)
- Algeta ASA (more)
- Immage Biotherapeutics Corp (more)
- AgriEuro Corp. (more)
- eMedia Group (more)
- New Gen BioPharma (more)
- China BioPharma (more)
- Ubiquity (more)
FINRA NEWS (Full List):
- FINRA Requests Comments on Rules Impacting Capital Formation (more)
- FINRA Requests Comments on Proposed Limited Safe Harbor from FINRA Equity & Debt Research Rules for Desk Commentary (more)
- National Adjudicatory Council Introduces New Sanction Guidelines (more)
- FINRA Requests Comments on Proposed Amendments to Corporate Financing Rule (more)
About Coral Capital Partners and Erik Nelson
Erik Nelson is the President of Coral Capital Partners, an independent consulting and advisory firm focused on companies and participants in the lower and middle markets. Coral Capital Partners provides cost effective solutions to real world issues and situations. Coral Capital Partners, Inc. provides services to Investment Banks, Private Equity Funds, investors, and both privately held and publicly traded companies, as well as various stakeholders in those organizations. This has included international public companies with operations on three (3) continents to smaller privately held domestic companies. Our experience in the areas of corporate advisory, due diligence reviews, and regulatory compliance allows for a cost effective and efficient solution to the issues at hand. Please feel free to visit our web site at: www.coralcapital.com or call our offices via. telephone # (404)-816-9220 to see how we may be of assistance.