New rules beef up disclosure, investor protections around shell company financings
Regulators seek to codify initial investment restrictions, custody provisions
The SEC sanctioned the firm for violating whistleblower protections
Trio traded on inside information about pending mergers and acquisitions
Firm and executive settled charges with SEC, SDNY
Fixed-income notes based on crypto must be registered, regulator alleges
One individual and two sets of joint tipsters share rewards
Operators of PlexCoin initial coin offering found guilty
Industry trade groups remain hesitant about sweeping reforms
With ninth distribution, recovery effort tops US$4.2 billion