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BusinessWeek December 1, 2003 Borrus & Dwyer	The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry.
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
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
BusinessWeek September 22, 2003 Der Hovanesian et al.	How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done.
BusinessWeek November 17, 2003 Borrus & Dwyer	Funds Need A Radical New Design Recent mutual fund scandals show that fund boards do a poor job of protecting investors. A look at some proposals for restructuring the industry.
BusinessWeek December 22, 2003 Amy Borrus	Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors.
Registered Rep. April 1, 2005 Stan Luxenberg	A Benign Disaster? An academic, hired by Putnam to calculate losses attributable to market-timing and excessive trading, reckons the number is $4.4 million, not the $110 million Putnam agreed to pay the SEC and Massachusetts regulators.. And that includes interest.
BusinessWeek April 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
Knowledge@Wharton September 24, 2003	Mutual Fund Scandals: Once Again, Individual Investors Are the Losers Is the mutual fund industry going to become mired in the kind of scandal that has afflicted so many public companies over the past few years?
Registered Rep. April 1, 2006 Stan Luxenberg	To Define a Theft For all the uncertainties, the SEC continues battling the mutual fund market-timing problem. After the scandal broke, the regulator promised tough moves to stop the questionable trading. But so far, the pace of change has been slow.
CIO July 1, 2004 Elana Varon	Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain.
Registered Rep. August 8, 2005 Stan Luxenberg	CIBC and the Murky Waters of Mutual Fund Enforcement When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the saga has begun to appear murkier.
Registered Rep. September 1, 2005 Stan Luxenberg	Gray Matter When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the matter is getting murkier.
Wall Street & Technology January 4, 2004 Jessica Pallay	Is Time on Your Side? As trading abuses are exposed, the mutual-fund industry contemplates how to stop the late bird from getting the worm.
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
CFO January 30, 2004 Tim Reason	Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds.
Registered Rep. August 1, 2004 Will Leitch	The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go.
Wall Street & Technology February 12, 2004 Jessica Pallay	Operation Mutual Fund The SEC is on a mission to bring order to the chaotic state of the mutual-fund industry.
Registered Rep. May 21, 2004 Will Leitch	Roye Blasts Revenue Sharing at ICI Conference; Strong Settles The SEC's director of its investment management division delivered perhaps his strongest remarks yet on mutual fund malfeasance.
Registered Rep. December 2, 2003 Will Leitch	Spitzer, OCC Issue Corporate Death Penalty The news came right before the Thanksgiving holiday, so you might have missed it. But let there be no doubt: The mutual fund investigations have now gone nuclear.
CFO December 1, 2003 Linda Corman	Subject to Failure Recent scandals in the mutual-fund industry leave employers questioning the security of their plans.
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
Financial Advisor February 2004 Tracey Longo	Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals.
BusinessWeek April 19, 2004 Faith Arner	Can This Man Save Putnam? The firm is hemorrhaging billions of assets in the wake of scandals. Ed Haldeman has to stop the bleeding
Registered Rep. October 13, 2005 John Churchill	Market-Timer Banned and Fined Theodore Sihpol III, the former broker at Banc of America Securities (BAS) and poster boy for the market-timing scandals, agreed to pay a $200,000 fine and to accept a five-year ban from the securities industry.
Financial Planning April 1, 2005	News Digest SEC Investment Chief Heads to Exit... Compliance: Fund Boards Gain Control over Timing Curbs... Companies: American Funds Charged for Kickbacks... Fidelity Boosts Fund Sales... etc.
Registered Rep. August 18, 2004 Will Leitch	SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions.
BusinessWeek January 12, 2004	Mutual Funds: In the Scandals' Wake, A Raft Of New Rules It's a tricky time to be in the mutual-fund business. With the $7 trillion fund industry under intense scrutiny by regulators and legislators, a significant overhaul of the way funds do business is expected.
Investment Advisor June 1, 2011 Melanie Waddell	Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform.
BusinessWeek November 10, 2003 Jeffrey M. Laderman	Mutual Funds: What To Do Now Wondering how to cope with the growing scandal? Here are some answers.
CFO May 1, 2004 Roy Harris	Raiding the Returns Hidden costs and high fees eat into 401(k) plan benefits.
The Motley Fool July 15, 2004 Tim Beyers	SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register.
The Motley Fool March 22, 2004 Shannon Zimmerman	Spitzer Rides Again Chalk another one up to General Eliot Spitzer and his war on bad funds.
Registered Rep. November 1, 2005 John Churchill	Market-Timer Banned and Fined Theodore Sihpol III, a former broker at Banc of America Securities (BAS), and poster boy for the market-timing scandals -- and the first target of Spitzer to say no to a plea offer -- has settled with the SEC.
Registered Rep. February 27, 2004 David A. Gaffen	Regulators, Industry Still Divided On Mutual Funds David Brown, bureau chief of investment protection in the New York Attorney General's office, said insurance companies who sold mutual funds wrapped in variable annuities, along with banks and law firms, may end up becoming targets of Eliot Spitzer's ire in coming months.
Registered Rep. September 9, 2005 Stan Luxenberg	Imagine 50 Eliot Spitzers When are mutual fund companies charging too much in advisory fees? What constitutes proper disclosure of revenue sharing? And which governmental authority has jurisdiction over these issues?
BusinessWeek October 18, 2004 Anne Tergesen	In Your Fund Manager On Your Side? Until recently, most investors asked just one thing of their mutual funds: red-hot returns. Now, in the wake of the trading scandals, investors are also looking for fund management they can trust.
Registered Rep. January 1, 2007 Stan Luxenberg	No Redemption After discovering the fund market-timing scandals in 2003, regulators suggested boosting redemption fees. But lately, fee proponents have been losing their enthusiasm. The SEC decided not to make the fees mandatory.
Financial Advisor November 2003 Marla Brill	Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.
Registered Rep. September 1, 2005 Karen Donovan	Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street.
BusinessWeek September 22, 2003 Nanette Byrnes	Reform: Who's Making the Grade A performance review for CEOs, boards, analysts, and others
Registered Rep. February 18, 2004 John Churchill	SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold.
BusinessWeek June 28, 2004 Amy Borrus	Who's Right, The SEC Or Ned Johnson? The agency says independent chairmen at mutual funds are better for shareholders.
The Motley Fool April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
BusinessWeek July 28, 2003 Borrus & McNamee	States vs. the SEC: What's All the Shouting for? On the surface, it looks like the fragile alliance between state and federal securities cops is crumbling. There's more -- and less -- going on here than meets the eye.
BusinessWeek March 8, 2004 Anne Tergesen	Revealing Redemption Rates Worried that market timers are monkeying with your mutual fund? Here's one way to check for red flags
BusinessWeek September 27, 2004	"You Cannot Legislate Honesty" Fund manager Robert Olstein, in a candid interview, says the SEC regulators have overstepped the mark.
BusinessWeek January 19, 2004 Borrus & Dwyer	How To Crack Down On Mutual-Fund Fees The SEC should require uniform cost disclosure.
Financial Planning July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.