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Entrepreneur April 2007 David Worrell	Ready to Report It may get a little easier for some small-businesses to play by the Sarbanes-Oxley rules.
National Real Estate Investor October 1, 2005 Ann Weinstein	Sarbanes-Oxley Alters the Playing Field The need to ensure the adequacy of financial controls is fast becoming a competitive necessity for companies that provide services to public companies. Real estate service providers are confronted with this new reality.
U.S. Banker March 2008 Christopher Myers et al.	SOX Relief for Smaller Banks The SEC and the Public Company Accounting Oversight Board apparently agree that SOX may be too burdensome on small companies, and some relief may be on the horizon.
CFO March 15, 2004 Craig Schneider	A World of Trouble Even with an extended deadline for Sarbox compliance, questions about offshoring have companies on edge.
Wall Street & Technology April 14, 2006 Cory Levine	Logistics of E-Delivery The Internet has become an essential utility for American businesses and homes, but the extent to which individual investors are ready for an all-digital world has fallen into question over a rule proposal from the Securities and Exchange Commission.
Entrepreneur August 2007 Jennifer Pellet	The Land of the Audit-Free Small businesses are being liberated from SOX restrictions. The changes come at a critical time for companies with less than $75 million in market capitalization, which are to begin complying with the management guidance part of SOX during the 2007 audit cycle.
IndustryWeek April 1, 2004 John S. McClenahen	Sarbanes-Oxley: Little Time Left Companies confront November deadline to certify financial reporting controls.
CFO March 15, 2006 David M. Katz	A Tough Act to Follow What CFOs really think about Sarbox -- and how they would fix it. Included are the results of an exclusive survey of finance executives on the topic.
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.
InternetNews August 29, 2005 Jim Wagner	Work Remains for Sarbox Compliance Businesses have a lot of work ahead of them before they're fully compliant with federal data retention and financial reporting rules under the Sarbanes-Oxley Act, a new study concludes.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
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.
Wall Street & Technology March 19, 2007 Cory Levine	The Proxy Plan: The Future of Shareholder Material Delivery Is Paperless The SEC has laid plans for proxy voting and shareholder materials to be delivered to investors electronically using a notice and access, but questions remain about voter adoption.
CFO July 1, 2007 Scott Leibs	Five Years and Accounting This story is Part 1 in a three-part series on how corporate finance has changed since the Sarbanes-Oxley Act was passed.
Wall Street & Technology April 27, 2004 Jessica Pallay	SEC Sets Back SOX Sarbanes-Oxley deadlines are delayed, but firms find little solace in the regulation's extension.
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?
Wall Street & Technology February 12, 2004 Jessica Pallay	Suiting Up For SOX The Sarbanes-Oxley Act has CIOs struggling to find technology that will support tighter financial controls and processes.
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.
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.
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.
Wall Street & Technology June 2, 2007 Melanie Rodier	DST Unveils Cost-Cutting Electronic Proxy Delivery Solution Following the SEC's recent ruling, DST unveils a proxy solution for fund companies that includes electronic materials delivery and voting support, consent adoption, and consent management.
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 May 14, 2004 Selena Maranjian	Shareholders Take Action Here are some tips on how to make a difference with your holdings.
The Motley Fool April 30, 2007 Tom Taulli	Proxy Fights 101 How shareholder skirmishes are transforming Wall Street. It's smart to understand how proxy fights work, but don't assume they're a good system for investing. Proxy battles often target struggling companies with volatile stocks.
U.S. Banker January 2010 Rob Garver	No (More) Quarter...Perhaps The SEC says we've seen the last of the reprieves for small companies that have so far avoided complying with the 404(b) provision in the Sarbanes-Oxley Act. Community bankers best hope now is that Congress will step in and give them a permanent exemption.
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.
CIO April 15, 2004 Ben Worthen	Another Sarbox Reprieve Public companies now have until November to comply with Sarbanes-Oxley provisions requiring that they document their internal financial controls. CIOs can thank Microsoft.
InternetNews November 2, 2005 Erin Joyce	Movaris And The SOX 'Last Mile' Movaris' OneClose software wants to cast new light on companies' "last mile" accounting issues.
National Defense September 2011 McGrath et al.	New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial.
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.
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.
CFO September 1, 2004 Alix Nyberg	Raising Red Flags As they identify control weaknesses, companies find a common one: inadequate finance staffs.
CFO May 1, 2004 Lori Calabro	Looking Under the Hood New attestation standards for internal controls put more power in the hands of auditors.
On Wall Street October 1, 2009 Thomas O. Gorman	SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it.
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.
CIO May 15, 2003 Ben Worthen	Your Risks and Responsibilities You may think the Sarbanes-Oxley legislation has nothing to do with you, the CIO. You'd be wrong.
CFO September 1, 2003 Alix Nyberg	Sticker Shock When Congress passed the Sarbanes-Oxley Act of 2002, it didn't worry about how much it would cost companies. Today, CFOs are totting up the compliance bill -- and they don't like what they see.
Knowledge@Wharton September 10, 2003	Do High Regulatory Costs Force Public Firms to Go Private? Steps aimed at increasing the financial transparency of U.S. companies could backfire if companies respond by going private instead. In these post-Enron, post-WorldCom times, that would deal a body blow to confidence in capital markets.
Registered Rep. January 9, 2007 John Churchill	To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home.
CFO February 1, 2008 Sarah Johnson	Attempting to Answer the $91,000 Question The figure often cited as the cost of Section 404 compliance for small companies is not correct, according to a new study, which claims the real figure is lower. Many beg to differ.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
BusinessWeek October 27, 2003 Henry & Borrus	Honesty Is A Pricey Policy Execs are grumbling about the steep costs of complying with new financial controls.
CFO March 1, 2012 Sarah Johnson	Could Its IFRS Delay Strip the SEC of Power? International standards group gently prods the SEC to step up its involvement.
The Motley Fool May 18, 2004 Tim Beyers	Inside a Proxy Statement Proxies often reveal gems shareholders don't want to miss.
The Motley Fool December 1, 2004 Rich Duprey	Gee, Thanks: More Time in the Maze Companies under $700 million market cap get Sarbanes-Oxley filing extension.
The Motley Fool January 24, 2006 S.J. Caplan	Read Those Proxy Statements in 2006 Shareholder resolutions are an increasingly important vehicle for shareholder activism of all sorts.
CFO March 1, 2010	Web-Based Whistle-Blowing? A new website asks employees of publicly traded companies to anonymously divulge the questionable business practices of their employers... Fraud at Koss Corp. should have been easily detected... Why banks aren't lending to small businesses... etc.
The Motley Fool April 5, 2007 Nathan Parmelee	SEC Says It Again: Speak English! Executive compensation was supposed to be easier to understand for investors, but it's not quite there yet.
The Motley Fool February 20, 2007 Dan Caplinger	Get Out and Vote! Proxy voting lets your shareholder voice be heard.
U.S. Banker May 2005 Karen Krebsbach	SOX Costs Prompt Switch From Public to Private Many public community banks are going private to avoid the high costs and reporting requirements of Sarbanes-Oxley compliance. But are the savings of going private worth the hassle?