Law and regulation

The Small Business Administration stopped approving loans when the Paycheck Protection Program hit its cap.

Jay Clayton talked up the commission's latest enforcement efforts and defended Reg BI before skeptical lawmakers.

Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.

Robert Cook’s pay far outshines that of other SRO chiefs.

It's the first regulatory ding for the influential advisor and entrepreneur in almost 15 years.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

Advisors from across 79 branches were involved in selling offerings to family members and other brokers, including stock in Facebook, General Motors, LinkedIn and Twitter.

New York legislators are set to reconsider a previously stalled fiduciary bill.

Not all firms have procedures in place. Of those that do, about 20% aren’t enforcing them.

An advisor kept working with clients, and impersonated others on phone calls with Schwab, the SEC says.

The fees affected hundreds of thousands of customers and the total cost could climb to more than $180 million, according to a report in The Wall Street Journal.

Passive income held offshore may benefit from an arcane provision signed into law by President John F. Kennedy.

Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.

Lawmakers praise the spirit of the rule, but want to see a true uniform fiduciary standard.

The firm agreed to settle and admitted wrongdoing, according to the regulator.

FINRA plans to unveil a new user interface for its central registration depository system on June 30.

Critics say the SEC isn’t living up to promises made when Jay Clayton became chairman.

Investors may support the pay hikes, but protesters says the bank owes customers more.

The payout brings the distribution to more than $1.2 billion, a fraction of the more than $50 billion scam.