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CFO
May 1, 2010
Sarah Johnson |
The SEC Has a Few Questions for You This is the envelope no CFO looks forward to opening, even if the inquiry proves to be fairly routine.   |
CFO
July 1, 2004
Alix Nyberg |
A Matter of Emphasis Regulation G was supposed to end the abuses of pro forma reporting. Has it succeeded? |
CFO
Edward Teach & Tim Reason |
Lies, Damn Lies, and Pro Forma Pro forma earnings reports may be a cause du jour of reformers, but CFOs aren't about to back down from issuing them... |
CFO
September 1, 2010
Sarah Johnson |
SEC Pushes Companies for More Risk Info The regulator pushes back on companies' risk disclosures and considers changing its related rules. |
CFO
December 1, 2003
Lori Calabro |
Watch Your Mouth As Reg FD -- Full Disclosure -- enters its fourth year, enforcements so far offer hints on how to communicate. |
Real Estate Portfolio
Jul/Aug 2003
Phillip Britt |
Implications of Sarbanes-Oxley You need to go back to the 1930s to find laws that have had as much impact on the fundamental systems of REITs and other publicly traded companies. |
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. |
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. |
Wired
February 2002
Adam Lashinsky |
The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action... |
CFO
September 1, 2012
Kathleen Hoffelder |
SEC Report Backs Away from Convergence The commission's staff expresses hesitation about merging international standards and U.S. GAAP. |
BusinessWeek
September 26, 2005
Amy Borrus |
The SEC: Cracking Down On Spin The Securities & Exchange Commission is going after executives for skimpy or misleading disclosures in annual reports. |
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. |
CFO
October 1, 2002
Alix Nyberg |
Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency? |
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. |
CFO
February 1, 2008
Kate Plourd |
What's in Your Wallet? The CD&A gives investors a better view of executive pay. It could also give CFOs a raise. |
The Motley Fool
November 1, 2005 |
Selective Disclosure, Explained The SEC instituted a "Fair Disclosure" rule that prohibited public companies from alerting analysts and major investors to important changes before disclosing that information to the general public. So what has happened since the rule went into effect? |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
CFO
June 1, 2008
Alan Rappeport |
Suddenly, It's Here The SEC votes unanimously to soon require companies to file data-tagged financial statements. The move seems certain to breathe new life into XBRL (extensible business reporting language), the data-tagging scheme for financial reports. |
CFO
September 1, 2006
Alix Nyberg Stuart |
Standing on Principles In a world with more regulation than ever, can the accounting rulebook be thrown away? |
eCFO
April 2001
Randy Myers |
Put Up or Shut Up To comply with Regulation FD, corporate officers are starting to post company news on the Web. But Reg FD has so spooked some corporate officers that they've shied away from practically any informal contact with analysts... |
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. |
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. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
CFO
January 1, 2003 |
Credit Watch S&P's Leo O'Neill to SEC: We are not the watchdogs. |
CFO
November 1, 2009
Alix Stuart |
An Agency Ready to Roar? The SEC under new chief Mary Schapiro has gotten off to a slow start on the enforcement front, but attorneys expect a burst of energy in 2010. |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
Real Estate Portfolio
Jan/Feb 2001
Anna Chason |
Regulation Fair Disclosure: Walking the High Wire Investor relations have been described as a fencing match conducted on a tightrope. In providing information to investors and analysts, corporate officers must carefully negotiate the "high wire" and provide full information while avoiding "selective disclosures"... |
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 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
CFO
July 1, 2007
Michelle Leder |
Drowning in Data The new compensation disclosure rules deliver plenty of information. Too bad much of it doesn't make sense. Clearly, CFOs have more responsibilities than ever before, the annual proxy statement being just one. |
CFO
July 1, 2006
Kate O'Sullivan |
Hungry for More Reg FD has changed the way companies serve up information, leading to plenty of tension between CFOs and analysts. As the pressure on sell-side researchers grows, many analysts have moved to the buy side. |
CFO
September 1, 2009
Jason Karaian |
The Silent Treatment Regulators think that companies are too shy when it comes to airing their views on fundamental accounting issues. |
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. |
InternetNews
January 13, 2006
Clint Boulton |
SEC is Probing IBM Earnings The Securities and Exchange Commission's investigation into IBM's first-quarter 2005 accounting practices is now official. |
CFO
October 1, 2008
Marie Leone |
Convergence Divergence Critics question the entire rationale for adopting international financial reporting standards. |
On Wall Street
May 1, 2013
Cumming & Horwitz |
SEC Takes on Structured Notes Large banks need to provide better information on these complex securities sold to the wealthy, regulator says. |
CFO
September 1, 2005
Alix Nyberg Stuart |
Can You Spot the Finance Expert? Two years after the SEC started requiring finance experts on audit committees, it's still not clear who qualifies, or whether it really makes a difference. |
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
June 30, 2004
Rich Smith |
Siebel Spills Secrets Inaugural Regulation Fair Disclosure (Reg FD) violator Siebel Systems, provider of customer relationship management (CRM) software, is in trouble with the SEC yet again. |
CFO
April 1, 2005
Tim Reason |
The Limits of Mercy The cost of cooperating with the SEC is high. The cost of not cooperating is even higher. Faced with financial penalties, career-ending bans, and possible criminal prosecution, more individuals are choosing to fight the SEC. |
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. |
The Motley Fool
April 25, 2005
Chris Cather |
The World According to GAAP As earnings season heats up, investors may want to read up on the difference between GAAP and adjusted earnings. |
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. |
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
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
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. |
BusinessWeek
December 8, 2003
Spencer E. Ante |
The Secret Behind Those Profit Jumps Many companies are boosting earnings by reversing write-downs and not disclosing it. |
CFO
March 1, 2011
Kimberly Blanton |
Fat Cats and Fall Guys When CEOs live large, CFOs risk paying a price. Two recent cases brought by the Securities and Exchange Commission put CFOs in the crosshairs for alleged abuse of corporate perks by their bosses. |
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.
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. |
