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BusinessWeek February 14, 2005 Amy Borrus	Dr. No Digs In At The SEC When the Securities & Exchange Commission voted behind closed doors late last year to fine Goldman Sachs Group Inc. $40 million for allegedly trying to pump up the prices of initial public stock offerings, there was one holdout.
U.S. Banker December 2004 Lee Conrad	Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials.
BusinessWeek February 28, 2005 Amy Borrus	Donaldson's Balancing Act The SEC chairman plans further reforms -- mixed with business-friendly flexibility.
Investment Advisor July 2008 Melanie Waddell	SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds.
BusinessWeek August 9, 2004 Amy Borrus	At The SEC, The Agony Of Compromise Chairman Donaldson is finding a deal on proxy reform elusive in an election year. Yet, despite competing pressures, his resolve shows no sign of waning.
Registered Rep. February 22, 2005 Will Leitch	SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately.
The Motley Fool June 23, 2005 Tim Beyers	Fund Independence Day Fizzles Why did a court stall the SEC's attempt to add independence to mutual-fund boards?
BusinessWeek June 18, 2007 Dawn Kopecki	Backdating: Why Penalties Are Puny The SEC considers options violations less serious than other kinds of financial fraud.
Registered Rep. December 2, 2004 John Churchill	SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew?
BusinessWeek January 23, 2006 Amy Borrus	The Unlikely Hardnose At The SEC Securities & Exchange Commission Chairman Chris Cox wants all CEO pay revealed.
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.
Registered Rep. June 1, 2005 John Churchill	SEC to Lose Its Head Some say the departure of SEC Chairman William Donaldson, appointed by President George W. Bush to help restore confidence in scandal-ridden markets, can't result in anything positive for the Commission's agenda in the near future.
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.
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
Wall Street & Technology October 26, 2005	Costly Timing According to a report, compliance with the SEC's regulatory response to market timing abuses - Rule 22c-2 - will cost the mutual fund industry a total of $617.5 million over the next three years.
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.
The Motley Fool June 20, 2005 S.J. Caplan	7 Reasons to Bid Donaldson a Fond Adieu Investors should appreciate what was accomplished in the SEC chairman's tenure.
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.
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.
BusinessWeek June 20, 2005 Amy Borrus	What To Expect From Chris Cox His SEC could be a less aggressive cop. But business won't get a pushover.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
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.
Investment Advisor April 2006 Elizabeth Festa	A Less Scary SEC? SEC Commissioner Atkins promises more restraint in dealing with financial advisors.
BusinessWeek November 24, 2003 Paula Dwyer	The Big Board's Blueprint: Done Deal? New York Stock Exchange critics feel shortchanged by interim Chairman John S. Reed's new governance plan, but the SEC is already on board.
The Motley Fool February 9, 2007 Dan Caplinger	Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark.
BusinessWeek June 28, 2004 Emily Thornton	Mutual Funds: The Cost Of Full Disclosure With Securities & Exchange Commission Chairman William H. Donaldson pushing for new rules aimed at providing greater safeguards for mutual-fund investors, brokerages worry that implementing them will cost billions of dollars.
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 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.
Registered Rep. September 1, 2005 Karen Jones	Regulate Thyself (Better) Further complicating the debate over the self-regulatory organization (SRO) structure are the NYSE's planned demutalization and merger with Archipelago Holdings and Nasdaq's planned merger with Instinet Group. How will these moves affect their role as policemen of brokers?
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.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
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.
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.
BusinessWeek May 20, 2010 Jesse Westbrook & David Scheer	How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine
CFO February 1, 2006 Alix Nyberg Stuart	Penalty Box The SEC is handing out bigger and bigger fines for misdeeds. But is this the right approach?
Investment Advisor August 2006 Melanie Waddell	The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down.
Registered Rep. November 11, 2005 David A. Geracioti	Cox to SIA: No Regulatory Rollback When William Donaldson stepped down as SEC chairman, the perception was that the reform movement had also left the building. But Christopher Cox's first speech to the Securities Industry Association was to the contrary.
Reason March 2009 Gillespie & Welch	'I Think the SEC Was Distracted' Outgoing Securities and Exchange Commissioner Paul Atkins talks about bailouts, hedge funds, and what he thinks the SEC should have been regulating.
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.
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 December 27, 2004 Emily Thornton	Hedge Funds Find An Escape Hatch The loophole: Locked-up funds don't require oversight. That means more risk for investors.
The Motley Fool July 12, 2007 Brian Lawler	Dendreon Under Attack Following an unfavorable regulatory decision for its lead drug Provenge, the biotech is now the focus of an SEC inquiry.
BusinessWeek December 30, 2009 Jesse Westbrook	Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure.
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.
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.
BusinessWeek July 19, 2004 Borrus & Dwyer	Lobbying For Laissez-Faire Hedge funds are pouring money into campaign coffers in the U.S. to stop SEC regulation.
Registered Rep. June 29, 2004 Will Leitch	Hard Questions at Soft-Dollars Conference Most of the conference's attendees, particularly smaller firms who have come to rely on the "soft" payments, were there to find out one thing: Can the practice be saved?
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?
The Motley Fool June 26, 2006 S.J. Caplan	Hedge Funds Rule! A federal court strikes down the new "hedge fund rule." The spotlight now shines on the current SEC chairman, Christopher Cox.