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.