Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

BusinessWeek February 14, 2005	What Gets the SEC's Atkins Riled Up Says the outspoken commissioner: "We shouldn't take a one-size-fits-all approach" to rule-making
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.
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.
BusinessWeek January 23, 2006 Amy Borrus	The Unlikely Hardnose At The SEC Securities & Exchange Commission Chairman Chris Cox wants all CEO pay revealed.
BusinessWeek February 28, 2005 Amy Borrus	Donaldson's Balancing Act The SEC chairman plans further reforms -- mixed with business-friendly flexibility.
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.
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.
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 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
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.
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 December 30, 2009 Jesse Westbrook	Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure.
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. August 9, 2007 John Churchill	Campos Out at SEC Roel Campos, one of five SEC commissioners and one of the two Democrats, is stepping down, leaving for the private sector.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
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 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 November 17, 2003 Gary Weiss	Too Little, Too Late, Mr. Reed? Many feel interim chairman John Reed's NYSE reforms don't go far enough -- so the SEC may step in.
Investment Advisor April 2006 Elizabeth Festa	A Less Scary SEC? SEC Commissioner Atkins promises more restraint in dealing with financial advisors.
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 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.
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?
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.
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 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.
Investment Advisor August 2006 Joseph & Barreto	Hedgeworld Hedge Fund Focus: Regulatory Limbo for Hedge Funds Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see examiners on their doorstep anytime soon.
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.
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.
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.
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?
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.
The Motley Fool March 29, 2004 Eliot Cohen	Lies, Half-Truths, and Hubris Help the SEC make the right choice about fairer elections for boards of directors. Corporate insiders are spouting lies, half-truths, and hubris to prevent investors from getting a whiff of fairer elections for boards of directors.
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 3, 2007 Nanette Byrnes	Proxies: The SEC's Stopgap Solution Chairman Cox indicates he'll vote against shareholder access to corporate proxies, but the agency will revisit the issue next year.
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?
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?
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.
Registered Rep. February 9, 2007 Kevin Burke	SEC Big Says Waiver Tactics Can Backfire An SEC commissioner today said that asking broker/dealers and investment advisory firms to waive their legal right to attorney-client privilege in order to speed up the pace of enforcement investigations is shortsighted.
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.
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.
BusinessWeek December 22, 2003 Brian Grow	The Low-Carb Food Fight Ahead Atkins' growing product line is raking it in. But company is coming.
Entrepreneur November 2005 Scott Bernard Nelson	New Cop in Town Will new SEC chairman Christopher Cox set you free from regulation?
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.
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.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
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.
Financial Advisor October 2012	Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground.
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.
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.
U.S. Banker December 2007 Karen Krebsbach	Opposition Grows Against Rules To Trim Shareholder Rights The SEC is expected to decide before year's end whether to approve any of the five controversial proposals that would curb the rights of shareholders to file resolutions and participate in choosing corporate-board members.