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The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
CFO December 1, 2011 Alix Stuart	Smoothing the IPO Path A new SEC committee wants to help smaller companies find less costly ways to raise capital.
Pharmaceutical Executive October 1, 2014 Ogden & Holtman	Open-Source Option Against Capital Crunch Is crowdfunding an attractive alternative to finance pharma and biotech start-ups?
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 December 8, 2011 Alex Planes	So You Want to Invest in a Start-up? Similar bills in Congress might give ordinary investors a way in.
Investment Advisor June 2010 Jeff Joseph	The Venture Populist: It's Bunk Early-stage businesses should be entirely exempt from the Reg D accredited investor provisions.
Investment Advisor January 1, 2011 Jeff Joseph	The Good, The Bad and Reg D Though initially intended to enable entrepreneurship and small business financings, the legitimate users of Reg D have been eclipsed by the scamsters.
Commercial Investment Real Estate Nov/Dec 2013 Taylor & Trowbridge	Group Investing Update Changes to securities laws may change your business model.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
The Motley Fool February 9, 2007 Dan Caplinger	Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark.
Registered Rep. September 21, 2007 Halah Touryalai	Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers.
On Wall Street June 1, 2010 Mark Astarita	Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.
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.
On Wall Street July 1, 2009 Mark Astarita	The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work.
CFO March 1, 2011 Russ Banham	Going Public by Accident Private companies may unwittingly find themselves in the public eye when shares are traded too freely.
Registered Rep. June 15, 2010 Kristen French	NASAA Says Reg-D Is Second Biggest Investor Protection Concern NASAA President Denise Voigt Crawford outlined the biggest investor protection provisions in Wall Street reform legislation that are supported by the organization.
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.
Investment Advisor November 2009 Melanie Waddell	Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition.
Entrepreneur February 2007 David Worrell	Stock Support Save time and money when selling stock in your company to raise money.
Investment Advisor May 2010 Melanie Waddell	30 for 30 Interviews: Mary Schapiro SEC chairman Mary Schapiro talks about harmonizing rules for broker/dealers and advisors.
Fast Company June 2012 Danielle Sacks	Shaking Up Crowdfunding It's that classic story: Guy has idea to buy beer company. Guy tries to raise funds. Guy catalyzes new federal legislation.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
BusinessWeek April 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
U.S. Banker December 2004 Lee Conrad	Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials.
CFO February 1, 2005 Ronald Fink	Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital.
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 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. 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 October 1, 2011 Sarah Johnson	Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules.
Financial Planning July 1, 2010 Jeanne Lee	Reform Lite The 1,600-page financial reform bill passed by the Senate in May still doesn't do enough to enhance consumer protections for individual investors, some industry observers say.
Investment Advisor April 1, 2011 Melanie Waddell	SEC Funding in the Budget Fight Crosshairs Commission may be the biggest casualty as lawmakers continue tussle over the federal budget
Registered Rep. December 11, 2009 Kristen French	House Passes Regulatory Reform, SRO Up In The Air The Wall Street Reform and Consumer Protection Act of 2009 passed by a narrow margin. But it will still be a long time before the regulatory future for broker/dealers and investment advisers is clear.
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. 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
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?
On Wall Street May 1, 2011 Lorie Konish	SEC To Revise Rules On Accredited Investors While proposed changes to the federal definition of an accredited investor seek to boost protection for investors participating in non-public offerings, financial advisors must approach the investments with vigilance, legal experts say.
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.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
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.
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 August 2010 Melanie Waddell	Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble
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
BusinessWeek December 27, 2004 Emily Thornton	Hedge Funds Find An Escape Hatch The loophole: Locked-up funds don't require oversight. That means more risk for investors.
The Motley Fool October 2, 2009 Robert Brokamp	Let's Fix the Rules of Enforcement Is the SEC up to the task?
BusinessWeek December 9, 2010 Alexis Leondis	The Hidden Hazards of Private Placements Some retirees who qualify as accredited investors based on their assets may lack the expertise to evaluate private placements.
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.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
IndustryWeek September 1, 2005	Finance: True To Reform New rules affecting the ways companies offer and register securities are slated to take effect on Dec. 1, 2005.
OCC Bulletin June 26, 2003	Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934
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.