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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.
BusinessWeek July 30, 2009	A Trio of Options Shareholders could soon have an easier route to proposing their own directors on company boards, thanks to three changes
BusinessWeek December 30, 2009 Jesse Westbrook	Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure.
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?
Investment Advisor April 2009 Melanie Waddell	All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm
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 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.
Investment Advisor September 2009 Melanie Waddell	SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme.
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.
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.
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.
Registered Rep. March 11, 2009 Halah Touryalai	Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings.
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.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
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.
Investment Advisor April 1, 2011 Melanie Waddell	GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt
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.
The Motley Fool October 19, 2010 Ilan Moscovitz	A New Era for Investors Management and boards must be accountable to us, the owners of the companies employing them. That's called capitalism.
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.
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.
The Motley Fool October 2, 2009 Ilan Moscovitz	Let's Fix Director Nominations Should we make it easier for shareholders to nominate their own representatives?
Investment Advisor September 2009	Broker/Dealer News Actions by the SEC and FINRA
HBS Working Knowledge January 19, 2011 Carmen Nobel	Activist Board Members Increase Firm's Market Value Public company shareholders have long complained that corporate boards don't always act in the best interest of their investors. But does the addition of a shareholder-sponsored board member increase the market value of the firm?
The Motley Fool October 2, 2009 Dayana Yochim	It's Time for a Shareholder Revolution The Shareholder Bill of Rights Act is the most prominent, widely publicized proposal on corporate governance to come out of this crisis.
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.
The Motley Fool March 24, 2009 Smith & Bleeker	Who's More to Blame: Congress or the SEC? March Stock Madness -- Second Round: Let's bullet-point some of the failures of both Congress and the SEC to determine which is more to blame for the current crisis.
Investment Advisor October 2009 Melanie Waddell	SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff.
The Motley Fool April 5, 2010 Jeffrey Morgan	Corporate America Wants Your Vote Why we should all care about corporate governance.
The Motley Fool June 18, 2010 Yochim & Moscovitz	Don't Let Washington Kill Shareholder Rights Eleventh-hour backroom deals are unacceptable.
The Motley Fool September 26, 2011 Dan Radovsky	S&P Being Taken to the Woodshed The ratings agency will have to answer the SEC's questions about CDO ratings fiasco.
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.
The Motley Fool October 2, 2009 Magyer & Moscovitz	Let's Fix Board Elections Part of an ongoing series about the Shareholder Bill of Rights currently in Congress. In this article, board elections. Whom will you pick to run the ship?
The Motley Fool April 21, 2010	The Motley Fool's Testimony on Corporate Governance and Shareholder Empowerment Shareholders should have a bigger say in how companies are run.
InternetNews June 5, 2007 Clint Boulton	IBM, SEC Come to Terms Over Financial Gripe IBM settled with the Securities and Exchange Commission today for issuing misleading statements about the impact of employee stock options on its 2005 earnings.
Investment Advisor May 2010 Melanie Waddell	30 for 30 Interviews: Harry Markopolos Independent financial fraud investigator Harry Markopolos identifies strengths and weakness of the SEC.
Financial Advisor November 2011 Evan Simonoff	What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation.
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.
Investment Advisor June 1, 2011 Melanie Waddell	Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform.
InternetNews December 15, 2006 Roy Mark	SEC Brings Proxies Online Shareholders will soon be able to find proxy statements and annual reports online, according to new voluntary rules approved this week by the Securities and Exchange Commission.
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.
The Motley Fool November 28, 2011 John Reeves	Judge Blocks Citigroup's Sweetheart Deal Judge Rakoff blocks a deal between Citi and the SEC.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
The Motley Fool March 10, 2004 Selena Maranjian	Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem.
InternetNews April 24, 2007 Michael Hickins	SEC Charges Former Apple Attorney With Fraud SEC levies fraud charges at Apple's former general counsel and settles with its former CFO in connection with a stock options backdating scandal.
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 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
Investment Advisor January 2009 Jeff Joseph	More Regulation Post-Madoff? The only thing they are certain of is that his alleged Ponzi scheme.
BusinessWeek November 29, 2004 Amy Borrus	Rating Agencies Get A Credit Check The SEC and European regulators are debating new rules for the U.S.-led credit rating industry. The commission probably will ask Congress for authority to require rating agencies to open their books and records to the SEC.
Investment Advisor September 2008 Melanie Waddell	Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform.