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BusinessWeek December 1, 2003 Borrus & Dwyer	The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
Knowledge@Wharton September 24, 2003	Mutual Fund Scandals: Once Again, Individual Investors Are the Losers Is the mutual fund industry going to become mired in the kind of scandal that has afflicted so many public companies over the past few years?
BusinessWeek November 17, 2003 Borrus & Dwyer	Funds Need A Radical New Design Recent mutual fund scandals show that fund boards do a poor job of protecting investors. A look at some proposals for restructuring the industry.
BusinessWeek December 15, 2003 Paula Dwyer	Breach Of Trust The mutual-fund scandal was a disaster waiting to happen. An inside look at how the industry manipulated Washington
BusinessWeek May 2, 2005 Adrienne Carter	Mutual Funds: Why Fees Still Defy Gravity Investors are seeking answers about why annual fees are assessed when fund company assets have increased. Now regulators want to know, too.
BusinessWeek November 10, 2003 Jeffrey M. Laderman	Mutual Funds: What To Do Now Wondering how to cope with the growing scandal? Here are some answers.
BusinessWeek December 22, 2003 Amy Borrus	Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors.
BusinessWeek January 19, 2004 Borrus & Dwyer	How To Crack Down On Mutual-Fund Fees The SEC should require uniform cost disclosure.
BusinessWeek October 18, 2004 Anne Tergesen	In Your Fund Manager On Your Side? Until recently, most investors asked just one thing of their mutual funds: red-hot returns. Now, in the wake of the trading scandals, investors are also looking for fund management they can trust.
Financial Planning July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
CFO May 1, 2004 Roy Harris	Raiding the Returns Hidden costs and high fees eat into 401(k) plan benefits.
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.
Registered Rep. August 1, 2004 Will Leitch	The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go.
The Motley Fool February 18, 2004 Robert Brokamp	The Fund Fees You Don't See A study shows that almost half of shareholder costs are undisclosed or nearly impossible to find. While the recent mutual fund scandals raise serious questions about whom we should trust with our money, the actual dollar cost to most individual investors isn't that high. There are far more significant ways funds siphon off our dollars. And they're just as hidden.
The Motley Fool March 19, 2004 Whitney Tilson	The Disgrace of Soft Dollars Massachusetts Financial Services Co. (MFS), the oldest and 11th-largest mutual fund company, announced this week that it has stopped paying brokers in "soft dollars." I can hear the yawns across America, but this is an important issue because investors are being bilked out of billions.
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
The Motley Fool October 27, 2004	Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings.
Registered Rep. September 9, 2005 Stan Luxenberg	Imagine 50 Eliot Spitzers When are mutual fund companies charging too much in advisory fees? What constitutes proper disclosure of revenue sharing? And which governmental authority has jurisdiction over these issues?
BusinessWeek June 7, 2004 Anne Tergesen	Does Your 401(k) Cost Too Much? Fees for your 401(k) retirement plan can take as much as 3% of the account balance each year. Watch out for conflicts of interest.
Financial Advisor November 2003 Marla Brill	Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.
CIO July 1, 2004 Elana Varon	Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain.
Financial Planning April 1, 2005	News Digest SEC Investment Chief Heads to Exit... Compliance: Fund Boards Gain Control over Timing Curbs... Companies: American Funds Charged for Kickbacks... Fidelity Boosts Fund Sales... etc.
BusinessWeek April 19, 2004 Faith Arner	Can This Man Save Putnam? The firm is hemorrhaging billions of assets in the wake of scandals. Ed Haldeman has to stop the bleeding
BusinessWeek September 22, 2003 Anne Tergesen	How Traders Play the Timing Game Finance professor Jason Greene explains why this technique hurts buy-and-hold fund investors and how to protect yourself
The Motley Fool August 26, 2004 Robert Brokamp	My Fund Manager Ate My Retirement! How much of your investment is consumed by your mutual fund's expenses?
Registered Rep. April 1, 2006 Stan Luxenberg	To Define a Theft For all the uncertainties, the SEC continues battling the mutual fund market-timing problem. After the scandal broke, the regulator promised tough moves to stop the questionable trading. But so far, the pace of change has been slow.
Wall Street & Technology August 27, 2004 Ivy Schmerken	Bracing for Disclosure of Soft Dollars The SEC's examination of soft dollars could require money managers to increase disclosure of costs and force the sell side to unbundle its commissions and separately price its research.
Registered Rep. April 1, 2006 Kristen French	Your Fees Under the Regulator Microscope Financial advisors had better be able to justify their fees, because regulators have been busy examining fees charged to retail clients.
Registered Rep. August 1, 2003	Ten To Watch 2003 The members of our "Ten to Watch" list are among those saddled with having to manage in this tough environment. What makes this group different is that each member has proven influential enough to play some role in creating the securities industry's environment for the year to come.
Financial Advisor April 2004 Gregory Bresiger	Fund Industry Dilemma: Who Pays The Bills? A new bill calls for the elimination of 12b-1 fees.
BusinessWeek August 16, 2004 Anne Tergesen	The 529 Ate My Tax Break The high fees that some 529 college savings plans charge can substantially erode, or even erase, their tax advantages.
The Motley Fool May 15, 2008 Dan Caplinger	Don't Pay Your Broker for Free Funds No-load funds don't cost a dime to buy -- except from some brokers.
Knowledge@Wharton April 9, 2003	John C. Bogle's Advice: Live Long and Prosper, on Index Funds In a perilous climate, what does one of the country's best-known stock market experts advise investors to do? Just stay the course, says John C. Bogle, founder and retired chairman and CEO of The Vanguard Group.
Investment Advisor April 2008 Melanie Waddell	12b-1 Headed for an Overhaul After nearly a year of silence, the SEC has decided to revamp 12b-1.
BusinessWeek January 12, 2004	Mutual Funds: In the Scandals' Wake, A Raft Of New Rules It's a tricky time to be in the mutual-fund business. With the $7 trillion fund industry under intense scrutiny by regulators and legislators, a significant overhaul of the way funds do business is expected.
Investment Advisor August 2007 Melanie Waddell	Will 12b-1 Fees Survive? Will the securities and Exchange Commission repeal 12b-1 fees? It depends on whom you ask, but SEC Chairman Christopher Cox has vowed to either repeal or revamp the Commission's 12b-1 rule by year-end.
CFO December 1, 2003 Linda Corman	Subject to Failure Recent scandals in the mutual-fund industry leave employers questioning the security of their plans.
Registered Rep. August 8, 2005 Stan Luxenberg	CIBC and the Murky Waters of Mutual Fund Enforcement When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the saga has begun to appear murkier.
Registered Rep. April 1, 2005 Stan Luxenberg	A Benign Disaster? An academic, hired by Putnam to calculate losses attributable to market-timing and excessive trading, reckons the number is $4.4 million, not the $110 million Putnam agreed to pay the SEC and Massachusetts regulators.. And that includes interest.
Registered Rep. August 18, 2004 Will Leitch	SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions.
BusinessWeek March 8, 2004 Anne Tergesen	Revealing Redemption Rates Worried that market timers are monkeying with your mutual fund? Here's one way to check for red flags
Registered Rep. September 1, 2005 Karen Donovan	Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street.
BusinessWeek April 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
Investment Advisor November 2005 Melanie Waddell	The Playing Field: Round Two of Market Timing The SEC designed Rule 22c-2 to help mutual fund companies deal with market timing, but is it working?
Entrepreneur October 2009 Rosalind Resnick	Conquering Your Fear of Fees Savvy investors know to read the fine print about money-management charges.
Salon.com June 13, 2000 Steve Bodow	The great mutual fund rip-off Millions sink money into them, but do you really know what your fund manager is up to?
Registered Rep. April 1, 2005 Luxenberg & French	A Pile of Reasons Regulators and broker/dealer management have gone overboard with mutual fund disclosure. Take the case of the B-share class of mutual funds.