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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 February 23, 2004 Selena Maranjian	Tell the SEC What You Think Help the Securities and Exchange Commission disclose Wall Street's conflicts of interest by giving feedback on their proposed rule changes for mutual funds.
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."
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.
OCC Bulletin October 29, 2003	Proposed Revisions to Risk-Based Capital Regulations Implementing the New Basel Capital Accord The U.S. banking agencies are currently seeking comment on a proposed framework for implementing the New Basel Capital Accord in the United States through an advance notice of proposed rulemaking.
Investment Advisor November 2009 Melanie Waddell	SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015.
InternetNews October 7, 2008 Paul Shread	Technical Analysis: It's the Uptick Rule, Stupid An SEC decision in July 2007 could well be contributing to the current financial crisis.
BusinessWeek May 14, 2009 Maria Bartiromo	SEC Chief Mary Schapiro: The Watchdog's New Teeth A discussion with with the new SEC Chief Mary Schapiro.
Investment Advisor April 2008 Melanie Waddell	It's About Time Investment industry executives agree that the SEC's proposed short-form mutual fund prospectus is long overdue.
OCC Bulletin August 30, 2005	Examiner Ethics The attached proposed rule, issued jointly with the other federal banking agencies, concerns new post-employment restrictions for senior examiners of national banks.
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. June 24, 2009 John Churchill	SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets
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.
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.
Investment Advisor September 2010 Melanie Waddell	Washington Watch: Industry Heeds SEC's Call for Comments SEC flooded with comments on fiduciary standard; 'fiduciary forum' on September 24.
Registered Rep. August 30, 2005 John Churchill	Retaining Those Pesky Emails Morgan Stanley is in for what could be a $10 million fine from the SEC for failing to retain emails, according to a report.
Pharmaceutical Executive July 1, 2011	How to Prevent a Facebook Faux Pas Here are a few 'Like' and 'Dislike' practices that companies should consider, prior to Facebook's great enabling.
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.
Financial Planning March 1, 2007 Lynn Hume	The Bond Buyer SEC Votes on Rules for Rating Agencies: The proposed rules would implement provisions of the Credit Rating Agency Reform Act of 2006, which Congress approved and President Bush signed to foster increased competition, transparency and accountability among rating agencies.
Registered Rep. April 1, 2008 Halah Touryalai	Clients in Your Pockets Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment to privacy policy rules, also known as Regulation S-P, is approved.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
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.
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.
OCC Bulletin December 20, 2004	Shared National Credit Program Comments are sought on the proposed changes to the Shared National Credit (SNC) Program data collection process.
InternetNews September 21, 2007 David Needle	Steve Jobs to Testify in Backdating Case Apple CEO Steve Jobs has reportedly been subpoenaed by the Securities and Exchange Commission to testify in a stock-options back-dating case against Apple's former general counsel, Nancy Heinen.
On Wall Street August 1, 2009 Mark Astarita	Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry.
PC Magazine May 16, 2007	How Excel Formulas Can Reference Comments How to carry non-cell data from one Excel worksheet to another.
Registered Rep. December 16, 2008 Bill Singer	Have Arthur Levitt's Words Come Back to Haunt Him? On the heels of the recent lurid discoveries about Bernard Madoff's multi-billion-dollar fraud, former SEC Chair Arthur Levitt is quoted in the article as saying: "At this point, I don't see any evidence that the SEC dropped the ball."
Registered Rep. March 1, 2008	Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete.
Registered Rep. October 8, 2004 John Churchill	Are Reps Advisors or Mere Brokers? The CFA sent a comment letter to SEC Chairman Donaldson, suggesting the nature of the services, not the compensation model, is what is important. And the current exemption misses this point.
Entrepreneur August 2003 Elizabeth Goodgold	A Matter of Opinion Generating customer feedback: how to go about it?
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.
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.
Investment Advisor July 2008	Group Think The CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must provide to clients and prospective clients.
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.
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.
Registered Rep. July 24, 2007 John Churchill	SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers.
BusinessWeek December 30, 2009 Jesse Westbrook	Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure.
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?
Investment Advisor May 1, 2011 Melanie Waddell, AdvisorOne	Fair Play: The Fight Over Rule 206(4)-5 Advisors are confused -- and angry -- over the SEC's new pay-to-play rule
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. January 12, 2004 Will Leitch	Extended Life for Controversial NASD Initiative A controversial NASD initiative that would give investors easy access to complaints against brokers is undergoing some change, but it's looking increasingly likely to come to fruition.
Financial Planning July 1, 2007 Jane Worthington	Compliance Use these rules to help you survive an SEC inspection.
BusinessWeek December 6, 2004 Amy Borrus	No More Breaks For The Big Board Why the SEC should stand by its plan to loosen the NYSE's hold on trading
Registered Rep. August 28, 2002 Rick Weinberg	NASD Looks To Approve Broker, Brokerage Firm Use of Investment Analysis The NASD is looking to approve a proposal that would allow brokers and brokerage firms to provide clients with interactive investment analysis tools.
Investment Advisor April 2008 Melanie Waddell	Speeding ETFs to Market The Sec is making it easier for exchange-traded funds to come to market.
Financial Advisor October 2004 Evan Simonoff	Editor's Note Back in July when the Financial Planning Association filed a lawsuit against the Securities and Exchange Commission, many advisors could be forgiven for wondering if the FPA was losing its grip on reality.
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.
CFO April 15, 2012 Sarah Johnson	Averting Revenue-Recognition Angst FASB and the IASB seek to allay worries over new rules for booking revenue.
The Motley Fool October 15, 2010 Bill Barker	Why We Oppose 12b-1 Fees This little sales charge doesn't benefit existing shareholders, is insufficiently transparent, and the SEC has a new proposal to limit that fee.