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Entrepreneur December 2004 David Worrell	Shell Shock? Just as the IPO window may be opening, lawmakers and regulators are working to slam it shut by implementing tough new rules for public companies.
The Motley Fool October 13, 2004 Tom Taulli	Nightmare on Sarbanes Street While Sarbanes-Oxley is meant to help shareholders, we are seeing examples of the opposite result. Many small-cap companies have been disproportionately affected by the surging compliance costs of the act.
BusinessWeek August 4, 2003 Robert Barker	A Legal Way to Keep Investors in the Dark Just when you thought transparency in corporate financial reporting was improving, along comes this: More public companies are telling the Securities & Exchange Commission they will deregister, meaning they will stop submitting quarterly financial reports and other key disclosures.
OCC Bulletin June 26, 2003	Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934
The Motley Fool January 26, 2008 Brian Richards	Pay Attention to These Stocks Some spectacular companies are hiding in an unlikely place. Read on to see where to find them.
CFO May 1, 2010 Sarah Johnson	The SEC Has a Few Questions for You This is the envelope no CFO looks forward to opening, even if the inquiry proves to be fairly routine.
The Motley Fool June 16, 2006 Selena Maranjian	Plasticon, an Amazing Penny Stock The key for investors is to find the most promising small companies -- which are usually not penny stocks.
BusinessWeek March 21, 2005 Amy Borrus	Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters.
Entrepreneur December 2003 C.J. Prince	Going Private? For companies tired of taking a beating in the market, deregistration -- getting delisted from the stock exchange but remaining public -- may be a temporary shelter in the storm.
Real Estate Portfolio Jul/Aug 2003 Phillip Britt	Implications of Sarbanes-Oxley You need to go back to the 1930s to find laws that have had as much impact on the fundamental systems of REITs and other publicly traded companies.
Wall Street & Technology February 4, 2005 Maria Santos	Compliance As the Securities and Exchange Commission steps up its efforts to regulate the industry and protect investors, financial institutions must take proactive measures to comply with current and possible future rules before the SEC takes action against them.
InternetNews December 15, 2006 Roy Mark	SEC Brings Proxies Online Shareholders will soon be able to find proxy statements and annual reports online, according to new voluntary rules approved this week by the Securities and Exchange Commission.
Wall Street & Technology March 1, 2004	Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
CFO February 1, 2005 Ronald Fink	Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital.
OCC Bulletin January 15, 2004	Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
BusinessWeek September 8, 2010 Ben Steverman	A Touch of Class for the Pink Sheets Large, reputable foreign companies are taking up residence on a dodgy stretch of Wall Street.
CFO January 1, 2003 Alix Nyberg	The Power of Balance Why NASDAQ is leaning toward even-smaller companies these days.
CFO September 1, 2010 Sarah Johnson	SEC Pushes Companies for More Risk Info The regulator pushes back on companies' risk disclosures and considers changing its related rules.
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?
Wired February 2002 Adam Lashinsky	The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action...
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.
IndustryWeek September 1, 2005	Finance: True To Reform New rules affecting the ways companies offer and register securities are slated to take effect on Dec. 1, 2005.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors.
CFO April 1, 2004	Bolting from the Big Four Smaller firms are picking up audit clients at the expense of the Big Four... Stock options fall out of favor... a proposal to synchronize accounting and tax reporting... analysts say good-bye to stock ratings... etc.
The Motley Fool March 10, 2004 Selena Maranjian	Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem.
National Real Estate Investor January 1, 2003 Matt Valley Editor	Sarbanes-Oxley is onerous What Corporate America needs is more integrity, not more due diligence and documentation. Compliance with Sarbanes-Oxley consumes time that could be spent creating shareholder value and may encourage some public companies to go private.
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.
The Motley Fool September 21, 2007 Todd Wenning	3 Fascinating Foreign Pink Sheets As many well-known foreign companies delist their stocks from major U.S. exchanges, you need to remember the Pink Sheets. Here are three companies to get you started: CSR... Wal-Mart de Mexico... Lukoil...
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.
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.
Bank Director 3rd Quarter 2009 John Berlau	Overregulation Plan Won't Fix Financial Crisis Initial reports indicate that these early hopes of a more accountable regulatory structure from the Obama administration have been dashed.
The Motley Fool August 31, 2007 Toby Shute	The Delisting Debacle Many global firms are leaving the NYSE; trading volume of these issues is very light relative to activity back on home exchanges, so the companies figure the cost of Sarbanes-Oxley compliance outweighs the benefit of the U.S. listing.
The Motley Fool June 24, 2005 Tim Beyers	Your Own Personal Deep Throat Do you know all there is to know about the stocks you own? The government does. You can, too. EDGAR (Electronic Data Gathering Analysis and Retrieval) is an investor's best friend.
The Motley Fool August 4, 2004 Bill Mann	Your Ownership Is Revoked Sarbanes-Oxley costs publicly traded companies big bucks to comply. Some small caps are choosing to delist rather than spend the money.
Finance & Development September 2009 Randall Dodd	Overhauling the System The United States is proposing the most radical reform of financial regulation since the New Deal.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Registered Rep. April 7, 2005 Kristen French	NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.
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.
The Motley Fool June 22, 2006 Anders Bylund	Why Do Stock Exchanges Matter? Don't know your Nasdaq from your NYSE? Here's the lowdown.
InternetNews March 9, 2007 Clint Boulton	SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam.
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
Investment Advisor December 2006 Kathleen M. McBride	Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules.
Wall Street & Technology January 6, 2006 Paul Allen	Is EDGAR Headed for XBRL? The SEC released a draft request for proposals for a new contract to overhaul its Electronic Data Gathering, Analysis and Retrieval (EDGAR) system and enable it to embrace interactive data formats such as eXtensible Business Reporting Language (XBRL).
Inc. September 2005 Amy Feldman	What Does Sarbanes-Oxley Mean for Companies That Want to Go Public? Companies planning an IPO will face higher audit costs, higher insurance costs, and more regulatory-related duties for its staffers.
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.
CFO September 1, 2006 Julia Homer	Enron, RIP? The louder the calls for a hiatus in new rules or the rolling back of existing ones, the less reason investors may have to place their confidence in companies issuing such demands.
BusinessWeek October 13, 2003 Robert Kuttner	The Big Board: Crying Out for Regulation The Grasso pay debacle means the SEC should supervise the NYSE.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.