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Inc. December 2006 Phaedra Hise	Off-the-Grid IPOs Intrastate offerings allow privately held businesses to create small local stock exchanges by selling shares to residents of a single state.
The Motley Fool September 19, 2007 Tom Taulli	IPO Invasion of the On-Demand Operators The global market for on-demand enterprise software was about $4 billion in 2006, and it's expected to grow to $14.5 billion in 2011. The next generation of software players are prepping for public offerings. Investors, take note.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
The Motley Fool October 8, 2010 Travis Hoium	Fuqi International Shares Popped: What You Need to Know I am wary of any company being investigated by the SEC, so watch that you don't get caught in an avalanche if it finds something.
The Motley Fool September 28, 2007 Tom Taulli	Endless Summer for Tech IPOs This summer brought a lot of action for tech public offerings, with a 50% increase in the number of IPOs over the same period last year, an 86% increase in revenue raised for the firms, and an average first-day pop of 31%. And more are coming.
Investment Advisor November 17, 2010 Thomas D. Giachetti	Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors
The Motley Fool June 30, 2005 Tom Taulli	IPOs Quiet No More The SEC can agree on some things, such as allowing companies to say more during an offering. So, how does this help investors?
The Motley Fool August 27, 2010 Selena Maranjian	Don't Let Wall Street Win This Fight You can help the SEC benefit millions of individual investors.
Registered Rep. February 1, 2005 John Churchill	A Monster Issue Will the SEC withdraw the Broker-Dealer Exemption, causing reps to back away from adviser status? If so, the impact could cause substantial disruption in the markets.
BusinessWeek January 6, 2011 Tsang & Spears	Buyout Firms Are Set for a Selling Spree With stocks rallying, private equity firms see a chance to sell shares of companies they bought using lots of borrowed money.
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.
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.
Financial Planning November 1, 2005 Kathy Gevlin	White Paper Almost all of the RIAs surveyed in this poll believe that the new SEC broker-dealer exemption rule, which allows broker-dealers to offer fee-based investment advice without complying with the fiduciary and disclosure standards of the Investment Advisers Act of 1940, is harmful to investors.
CFO October 1, 2009 Josh Hyatt	The Public Option A surge in companies filing IPO registrations may portend an end to the two-year slump in public offerings.
Commercial Investment Real Estate Nov/Dec 2013 Taylor & Trowbridge	Group Investing Update Changes to securities laws may change your business model.
Registered Rep. May 10, 2007 Kristen French	SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC.
Registered Rep. April 1, 2005	Ratting on Regulators Don't like the way that SEC investigator treated you while rifling through your files? Well, now you can report him.
Registered Rep. November 1, 2006 John Churchill	Insider Trading Up in 2006 NYSE Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006.
Inc. October 2005 Darren Dahl	Quiet Period Rules Revised On December 1, new rules will go into effect governing the public statements of CEOs on the eve of initial public offerings.
The Motley Fool August 3, 2006 Ryan Fuhrmann	Cardinal Distributes the Goods The drug wholesaler and distributor has to regain investor confidence and rebuild a track record in a changed industry. So far, so good for 2006. Let's see if any further information can be found once Cardinal submits its 10-K filing to the SEC.
Registered Rep. June 19, 2007 Christina Mucciolo	Investment Banks Win Major Antitrust Victory Investors claimed the banks manipulated the IPO market in the dot-com boom years between 1997 and 2000.
Financial Planning July 1, 2007 Jane Worthington	Compliance Use these rules to help you survive an SEC inspection.
Registered Rep. January 27, 2010 David A. Geracioti	The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment?
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.
The Motley Fool April 3, 2007 Selena Maranjian	Private vs. Public Just because an old, established firm is private doesn't mean it'll always be private. Investors looking to cash in often take firms public through initial public offerings.
Investment Advisor April 2008 Melanie Waddell	Speeding ETFs to Market The Sec is making it easier for exchange-traded funds to come to market.
BusinessWeek July 15, 2010 Michael Tsang	Goldman Sachs: King of IPOs Despite being sued by the SEC, Goldman Sachs held a dominant position in one of Wall Street's most lucrative client businesses.
Registered Rep. December 1, 2005 John Churchill	Blotter Hackers Beating the Market... SEC Halts Fraudster, Again...
Registered Rep. December 1, 2004 John Churchill	If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule.
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.
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
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.
Registered Rep. March 30, 2005 John Churchill	House Urges SEC to Adopt Broker-Dealer Exemption Rule At issue, at least as far as financial planners are concerned, is that registered reps are presenting themselves as fiduciaries, when in fact they are brokers with a less-than-fiduciary responsibility to their clients.
Registered Rep. July 12, 2011 Charles Paikert	Family Office Quandary May Benefit Wealth Managers For single-family offices, a recent Securities and Exchange Commission ruling marked the beginning of an identity crisis writ large -- one that will reshape the family office business and may ultimately benefit wealth and asset managers.
The Motley Fool December 1, 2004 Tim Beyers	Carnival of the Ignorant The NYSE faces down brokers who didn't provide basic information to thousands of IPO investors. But refunds? Sorry, folks, but when you invest, you take a risk.
Financial Advisor September 2005	Editor's Note Following the ironic twists and turns of the Securities and Exchange Commission's so-called Merrill Lynch rule brings to mind how so many things in life and business often take a turn we never could have anticipated.
Investment Advisor June 1, 2011 Thomas D. Giachetti	From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.
The Motley Fool May 21, 2004	IPO Lock-Up Period Understand how initial public offerings work before you invest in any.
Financial Planning July 1, 2008 Jane Worthington	Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination.
InternetNews March 14, 2007 Sean Michael Kerner	Juniper Completes Options Probe, CFO Resigns Two resignations come a day after Juniper announced it had finally completed a restatement of its past financials.
Investment Advisor April 1, 2011 Thomas D. Giachetti	Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready?
Registered Rep. September 23, 2008	SEC Charges Miami Broker Gary Gross Gary Gross has been charged with fraud by the SEC for selling his elderly clients unsuitable investments.
Registered Rep. February 23, 2007 Halah Touryalai	Retail Hedge Fund Investors to the SEC: Buzz Off The SEC thinks it needs to do more to protect wealthy retail investors from the secretive world of hedge funds. But many wealthy investors say they can take care of themselves.
Investment Advisor August 2010 Melanie Waddell	Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes."
InternetNews July 26, 2004 Erin Joyce	Google Sets IPO Price Range Plus, it sets some more rules for its unique auction IPO process for the long-anticipated IPO.
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.
The Motley Fool November 14, 2011 John Reeves	Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case.
InternetNews February 9, 2006 Sean Michael Kerner	Vonage Headed to IPO Market The VoIP vendor is looking to fetch $250 million amidst continuing losses. Vonage's SEC filing also provides a glimpse into the business activities of one the leading VoIP services.
The Motley Fool March 8, 2006 Tim Hanson	IPOs' Dirty Little Secret There's optimism around the market's newest offerings, but is it warranted? Many IPOs just flat out fail to perform over long periods of time. Investors -- never buy the hype and never overpay.
Registered Rep. April 29, 2005 John Churchill	FPA Sues to Stop Broker-Dealer Exemption The Financial Planning Association believes that the SEC rule which allows registered reps to call themselves financial advisors is contrary to law and encourages broker-dealers to engage in self-dealing with their clients without disclosing their conflicts of interest.