The Labor Department's latest attempt at amending its fiduciary definition is currently under consideration by the White House’s Budget Department and is expected to be released for comment soon.

Artificial intelligence can actually help stabilize the process of buying and selling financial assets.

That’s when a DC court will issue a mandate that could make effective an August opinion that went in favor of Grayscale Investments, which had sued the SEC as it looked to convert its Bitcoin trust into an ETF.

Paul Kwak conspired with others to fraudulently apply for business assistance from the Economic Impact Disaster Loan program.

But the existential threat to the regulator remains unresolved.

The agency’s moral authority may be eroded by how aggressively it has fined institutions for behavior everyone else thought was legal. Pushback may follow.

Jonathan Vincent Glenn faces 25 years in prison after pleading guilty to federal securities fraud charges.

In public comment letters, Morningstar and others urge the SEC to consider revising Reg BI instead of crafting new regulations. However, investor protection advocates say the rule is needed to safeguard consumers.

Justin Maher agreed to a 12-month suspension for not informing Northwestern Mutual of his involvement in co-founding a crypto asset eventually promoted by Kim Kardashian, Paul Pierce, Floyd Mayweather Jr. and other celebrities.