| Similar Articles |
|---|
 |
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.   |
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. |
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. |
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 |
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 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. |
Entrepreneur
November 2005
Scott Bernard Nelson |
New Cop in Town Will new SEC chairman Christopher Cox set you free from regulation? |
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. |
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. |
Financial Planning
May 1, 2006
Lynn Hume |
Campos Mulls Law for Raters The SEC Commission member says it may be time to seek legislation that would give the SEC authority to regulate the nation's credit rating agencies. |
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.
March 30, 2007
John Churchill |
Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule. |
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
October 7, 2008
Alyce Lomax |
The SEC Has Let Us Down Who's the SEC looking out for again? It's not you or I. |
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 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. |
Registered Rep.
March 1, 2006
Barry Rehfeld |
Another Tough Top Cop? When President Bush tapped Christopher Cox to replace William Donaldson, it looked like Bush was swapping an aggressive reformer for a kinder, gentler regulator. Yet since he took over as SEC chairman, Cox has shown that he is not the anti-Donaldson. |
BusinessWeek
January 31, 2005
Louis Lavelle |
A Simple Way To Make Boards Behave Requiring directors to win a majority of votes would give shareholders more say. Investors at as many as 100 companies will vote on nonbinding shareholder resolutions urging those companies to adopt majority voting. |
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. |
BusinessWeek
September 27, 2004 |
"You Cannot Legislate Honesty" Fund manager Robert Olstein, in a candid interview, says the SEC regulators have overstepped the mark. |
Registered Rep.
March 15, 2012
Kristen French |
Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup. |
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. |
BusinessWeek
January 23, 2006
Amy Borrus |
The Unlikely Hardnose At The SEC Securities & Exchange Commission Chairman Chris Cox wants all CEO pay revealed. |
The Motley Fool
May 14, 2004
Selena Maranjian |
Shareholders Take Action Here are some tips on how to make a difference with your holdings. |
BusinessWeek
February 28, 2005
Amy Borrus |
Donaldson's Balancing Act The SEC chairman plans further reforms -- mixed with business-friendly flexibility. |
BusinessWeek
November 17, 2003
David Henry |
Mutual Funds: Tossing Out The Rubber Stamp A new SEC rule that takes effect next year will require mutual funds to disclose how they vote on proxies for the stocks they own. The rule is intended to keep funds from siding with management to gain 401(k) business. How will this affect corporate governance? |
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
August 20, 2010
Alyce Lomax |
Will the SEC Protect Proxy Access? Investors of all stripes should keep an eye on next week's ruling. |
The Motley Fool
April 18, 2007
Amanda B. Kish |
The SEC Gets It Right The agency revisits governance rules and fees for mutual funds. |
Registered Rep.
April 8, 2005
John Churchill |
`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on. |
BusinessWeek
April 5, 2004
Paula Dwyer |
Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling |
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. |
Investment Advisor
June 2007
Melanie Waddell |
SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940. |
The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
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. |
Registered Rep.
November 7, 2003
David A. Geracioti |
SEC Chief "Distressed" at "Wrongdoing" in Industry SEC Chairman William Donaldson's favorite word is distressed -- at least that was true during both his speech to the Securities Industry Association annual meeting and the press briefing that followed. |
The Motley Fool
December 14, 2007
Alyce Lomax |
Don't Forget to Be Outraged The SEC makes a controversial ruling, which will allow companies to block shareholders' attempts to put their own director nominees on proxy ballots. |
Financial Planning
July 1, 2007
Marshall Eckblad |
Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved? |
HBS Working Knowledge
August 9, 2004
Lucian A. Bebchuk |
Bring Shareholders into the Board Room How can we improve board performance? One way is by reducing the extent to which boards are insulated from, and unaccountable to, shareholders. |
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. |
Investment Advisor
August 2010
Melanie Waddell |
Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble |
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
April 26, 2006
Rich Duprey |
Investing in Presto's Dim Future The small-appliance maker may soon find itself in hot water with the SEC. Investors, take note. |
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. |
CFO
June 1, 2006
P.B. Gray |
Inside the Chamber Under Thomas Donohue, the U.S. Chamber of Commerce has become a pro-business powerhouse. But not everyone is celebrating. |
U.S. Banker
September 2007
Lee Conrad |
Oversight: Hedge Fund Transparency At Issue...Again The Securities & Exchange Commission is attempting to shine a spotlight on the most opaque of investments-hedge funds-by creating a working group in its enforcement division to combat insider trading. |
Registered Rep.
October 1, 2005
John Churchill |
Regulation With a Smile The SEC ranked fifth in a federal government study titled "2005 Best Places to Work." |
The Motley Fool
September 17, 2007
Selena Maranjian |
The SEC May Shut You Up If you want to keep the right to influence your companies, let the SEC know. The SEC has recently proposed changing rules for shareholders -- in ways that don't seem to protect them at all. |
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. |
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? |
