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Registered Rep. December 11, 2002 Will Leitch	Bush Appoints DLJ Founder To Run SEC A month since embattled former chairman Harvey Pitt resigned, President Bush announced plans to nominate William Donaldson, founder of investment bank Donaldson Lufkin & Jenrette to head the Securities and Exchange Commission.
The Motley Fool March 10, 2004 Selena Maranjian	Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem.
CFO March 1, 2003 Tim Reason	Two Weeks in January The SEC put much of the Sarbanes-Oxley Act into effect by passing a slew of new rules. Here's what was proposed and what was disposed.
Knowledge@Wharton January 29, 2003	Lawyers and Accountants Can Expect Curbs and Compromises in New SEC Rules Recent rules adopted by the U.S. Securities and Exchange Commission to curb the kind of legal and accounting shenanigans that toppled companies like Enron and Arthur Andersen are not as strong as the SEC first indicated they might be. But do they still have enough teeth to work?
Knowledge@Wharton July 30, 2003	Has Sarbanes-Oxley Made a Dent in Corporate America's Armor? In the 12 months since it was signed by President Bush, the landmark Sarbanes-Oxley Act has caused U.S. companies to spend heavily on compliance, altered the culture of boardrooms and boosted the business of firms that offer ethics and compliance consulting. To what end?
Investment Advisor April 1, 2011 Melanie Waddell	GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt
CFO October 1, 2011 Sarah Johnson	Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules.
Registered Rep. November 20, 2002 Ross Tucker	SIA Kicks Off Conference Tour The first of three Securities Industry Association-sponsored Critical Issues Conferences kicked off yesterday in New York, bringing together an array of speakers to address key issues facing the financial services industry.
Entrepreneur April 2002 Jennifer Pellet	Tough Enough Despite speculations of a kinder SEC, Harvey Pitt is cracking down on business...
CFO July 1, 2007 Scott Leibs	Five Years and Accounting This story is Part 1 in a three-part series on how corporate finance has changed since the Sarbanes-Oxley Act was passed.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
Entrepreneur April 2007 David Worrell	Ready to Report It may get a little easier for some small-businesses to play by the Sarbanes-Oxley rules.
Registered Rep. May 10, 2007 Kristen French	SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC.
Financial Advisor May 2005 Evan Simonoff	Editor's Note Ohio Republican Michael Oxley addresses the issue of exemption from RIA regulation that the SEC just granted brokers and specifically the Financial Planning Association's lawsuit.
National Defense September 2011 McGrath et al.	New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial.
CFO December 1, 2011 Alix Stuart	Smoothing the IPO Path A new SEC committee wants to help smaller companies find less costly ways to raise capital.
CFO October 1, 2002 Alix Nyberg	Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency?
The Motley Fool July 6, 2004 Tom Taulli	Grim Reaper Visits EasyLink By all appearances, EasyLink is being hit for a minor offense. Not according to the SEC.
The Motley Fool March 24, 2009 Smith & Bleeker	Who's More to Blame: Congress or the SEC? March Stock Madness -- Second Round: Let's bullet-point some of the failures of both Congress and the SEC to determine which is more to blame for the current crisis.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
Wall Street & Technology September 21, 2004 Beth Bacheldor	Looking for Trouble Under new IT leadership, the U.S. Securities and Exchange Commission is upgrading technology to become a better watchdog and maintain market confidence.
InternetNews January 13, 2006 Paul Shread	Crossroads at a Crossroads Crossroads Systems decides that the burden of Sarbanes-Oxley is too great to remain a public company and announced de-listing its stock from the Nasdaq stock market.
Real Estate Portfolio Jul/Aug 2004 Phillip Britt	The Price of Being Public How small-cap REITs are handling the financial squeeze from Sarbanes-Oxley and other regulations.
Registered Rep. July 1, 2005 Kristen French	On-the-Job Therapy at the SEC After months of trying to fill the position, the SEC has hired a psychologist to work on the commission's flagging morale.
Investment Advisor August 2010 Melanie Waddell	Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble
Investment Advisor February 2009 Melanie Waddell	Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC.
CFO March 1, 2004 Kris Frieswick	Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal.
CFO April 1, 2005 Tim Reason	The Limits of Mercy The cost of cooperating with the SEC is high. The cost of not cooperating is even higher. Faced with financial penalties, career-ending bans, and possible criminal prosecution, more individuals are choosing to fight the SEC.
Reason April 2007 Brian Doherty	Sarb-Ox Showdown A pro-market research institute and a small accounting firm are taking Sarbanes-Oxley to court and claim in their suit that the Public Company Accounting Oversight Board violates the Constitution in several ways.
Financial Advisor October 2004 Evan Simonoff	Editor's Note Back in July when the Financial Planning Association filed a lawsuit against the Securities and Exchange Commission, many advisors could be forgiven for wondering if the FPA was losing its grip on reality.
Investment Advisor September 2008 Melanie Waddell	Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform.
CFO March 15, 2006 David M. Katz	A Tough Act to Follow What CFOs really think about Sarbox -- and how they would fix it. Included are the results of an exclusive survey of finance executives on the topic.
BusinessWeek April 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Registered Rep. September 15, 2011 Kristen French	Schapiro: Republican SEC Reform Bills Could Hog Tie SEC SEC Chairman Mary Schapiro said that legislation introduced by Republicans to restructure the agency and its rulemaking process would threaten the agency's ability to write and enforce rules effectively.
Inc. September 2005 Amy Feldman	Surviving Sarbanes-Oxley A law intended to clean up big public companies has taken its toll on small private ones -- both financially and emotionally. But there may finally be relief in sight.
Wall Street & Technology June 29, 2005 Maria Santos	Thomsen Replaces Cutler at SEC Enforcement Head The SEC named Linda Chatman Thomsen director of the division of enforcement. Thomsen joined the SEC in 1995 and has served as the enforcement division's deputy director since 2002.
The Motley Fool February 23, 2004 Selena Maranjian	Tell the SEC What You Think Help the Securities and Exchange Commission disclose Wall Street's conflicts of interest by giving feedback on their proposed rule changes for mutual funds.
CFO February 1, 2005 Ronald Fink	Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital.
InternetNews January 13, 2005	Google Square with SEC Google has reached an agreement with the Securities and Exchange Commission regarding its failure to register stock options issued to employees, according to a financial document filed on Thursday.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
CFO May 1, 2005 Tim Reason	Feeling the Pain Are the benefits of Sarbanes-Oxley worth the cost? Many companies are voicing their concerns to the SEC. The top complaint about 404 is that auditors must point out management's own assessment of internal controls.
BusinessWeek July 26, 2004 Paula Dwyer	The SEC To Top Execs: Read The Fine Print The Ken Lay criminal indictment has overshadowed the parallel SEC civil lawsuit. But corporate insiders and their attorneys would be wise to give the SEC complaint a close read.
CFO August 1, 2007 Kate O'Sullivan	The SEC Rules Five years after Sarbanes-Oxley, the SEC is flexing its regulatory muscle as never before.
BusinessWeek July 29, 2010 Jesse Westbrook	Whistleblowers Get a Raise The SEC will offer up to 30 percent of the money from fines to reward tipsters.
Investment Advisor August 2010 Melanie Waddell	Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes."
BusinessWeek January 17, 2005	The SEC Targets A Mexican Tycoon Saying that "geographic boundaries will not serve to protect those who seek to defraud investors," the U.S. Securities & Exchange Commission on Jan. 4 filed civil charges against TV Azteca, Mexico's No. 2 broadcaster.
BusinessWeek December 15, 2003 Paula Dwyer	Breach Of Trust The mutual-fund scandal was a disaster waiting to happen. An inside look at how the industry manipulated Washington
Registered Rep. January 9, 2007 John Churchill	To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home.