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Bank Systems & Technology June 17, 2009 Maria Bruno-Britz	Levitt Applauds Regulatory Reforms, but Says Accounting Standards Ignored Former SEC chairman Arthur Levitt says the Obama plan for regulatory overhaul achieves good balance, but still must address other problems.
Wall Street & Technology February 12, 2004	Outlook 2004: Compliance Tops the Charts Never before has Wall Street faced so many new regulations with major technology implications.
BusinessWeek October 13, 2003 Robert Kuttner	The Big Board: Crying Out for Regulation The Grasso pay debacle means the SEC should supervise the NYSE.
Wall Street & Technology March 1, 2004 Kerry Massaro	NYSE a Fast Market? It's humorous to think that the New York Stock Exchange could be classified as a "fast market."
Salon.com September 25, 2002 Farhad Manjoo	Investors of the world, unite! Former chairman of the SEC Arthur Levitt declares the time is ripe for fighting back against Wall Street.
Wall Street & Technology March 1, 2004	Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions.
BusinessWeek November 17, 2003 Gary Weiss	Too Little, Too Late, Mr. Reed? Many feel interim chairman John Reed's NYSE reforms don't go far enough -- so the SEC may step in.
BusinessWeek October 6, 2003 Weiss et al.	New Broom at the Big Board Enter John Reed. Can the former Citi boss bring real change to the troubled New York Stock Exchange?
CFO May 1, 2003 Arthur Levitt	You Are the Guardians Former SEC chairman Arthur Levitt offers some pointed advice on how to restore confidence in corporate accounting.
Wall Street & Technology October 26, 2005	Costly Timing According to a report, compliance with the SEC's regulatory response to market timing abuses - Rule 22c-2 - will cost the mutual fund industry a total of $617.5 million over the next three years.
Investment Advisor June 2006 Melanie Waddell	The Playing Field: Masters at the Helm Former SEC chairman Arthur Levitt and past NASD and Nasdaq Stock Market chairman and CEO Frank Zarb have joined a consulting firm's heavy hitters.
The Motley Fool July 8, 2005 Tom Taulli	AIG Getting Corporate Governance Religion By hiring Levitt, AIG is demonstrating that it is doing much more than paying lip service to corporate governance. This should not only help prevent future accounting implosions but also help build credibility with investors.
BusinessWeek January 12, 2004	Dick Grasso Grasso was, in a sense, the ultimate victim of the NYSE's secretive corporate culture and Stone Age governance practices.
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."
Financial Advisor May 2005 Evan Simonoff	Editor's Note Ohio Republican Michael Oxley addresses the issue of exemption from RIA regulation that the SEC just granted brokers and specifically the Financial Planning Association's lawsuit.
The Motley Fool July 6, 2004 Tom Taulli	Grim Reaper Visits EasyLink By all appearances, EasyLink is being hit for a minor offense. Not according to the SEC.
Wall Street & Technology February 12, 2004 Ivy Schmerken	Changing the Rules of the Game A change in the trade-through rule now on the SEC's agenda could lead to more direct-access and smart order-routing tools.
BusinessWeek November 10, 2003 Gary Weiss	NYSE: How Deep Will Reform Run? Revamping the way the Big Board works may not happen on John Reed's watch.
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.
The Motley Fool December 17, 2003 Bill Mann	CalPERS Sues the NYSE Bad governance at the Big Board has riled up the $154 billion pension manager.
Registered Rep. December 1, 2002 David A. Geracioti	Arthur Levitt Gives Up the Goods In his new book, the former SEC chairman writes, "Brokers may seem like clever financial experts, but they are first and foremost salespeople." This book by the longest-serving SEC head ever is a kick in the teeth to brokers, Wall Street, corporate executives -- even former colleagues.
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.
Wall Street & Technology February 4, 2005 Maria Santos	Compliance As the Securities and Exchange Commission steps up its efforts to regulate the industry and protect investors, financial institutions must take proactive measures to comply with current and possible future rules before the SEC takes action against them.
CFO February 1, 2003 Abe de Ramos	Standards Bearer The chairman of the IASC, Paul Volcker, shares some caustic comments on stock options, corporate boards, and the relative merits of GAAP.
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.
Wall Street & Technology March 26, 2004 Larry Tabb	NYSE: Fast Market or No Market? If the NYSE becomes more electronic, its owners (the specialists and floor brokers) will be disadvantaged, and possibly jobless.
BusinessWeek January 26, 2004 Mara Der Hovanesian	The NYSE: A Thousand Cuts ECNs, regional exchanges, brokerages -- they're all taking a piece of the Big Board.
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 18, 2003 Bill Mann	Thain Takes Reins at NYSE An investment banker takes over the biggest trading floor in the world.
The Motley Fool February 18, 2004 Bill Mann	End of the Specialist System? SEC investigations and electronic trading may spell the end of an era. Specialist firms line up to settle with the regulators.
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?
Wall Street & Technology October 27, 2003 Kerry Massaro	CIO Sign Off? Considering technology is critical to creating a valid picture of a company's well being, will a company's top technology officer ever be included in the final sign-off -- ultimately sharing liability with the CFO and CEO?
BusinessWeek May 17, 2004 Gary Weiss	There's A Floor Under Those Seats If the price of an NYSE membership is any guide, traders' livelihoods are secure.
The Motley Fool March 10, 2004 Selena Maranjian	Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem.
HBS Working Knowledge December 17, 2008 Julia Hanna	'Ted Levitt Changed My Life' Students say legendary Harvard Business School marketing professor Ted Levitt changed their lives inside his classroom and out.
BusinessWeek October 23, 2006 Maria Bartiromo	Sandy Weill's Wild Ride In his just-published memoir, The Real Deal, Sandy Weill recounts his roller-coaster career and his often stormy relationships with some of the biggest names in finance: Arthur Levitt, James Robinson, Jamie Dimon, and others.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
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.
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.
BusinessWeek April 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
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.
The Motley Fool April 13, 2004 Selena Maranjian	Wondering About Magellan A recent Money magazine article asked a question that's on the minds of many mutual fund investors: "Can Magellan Bounce Back?"
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.
U.S. Banker December 2003 Lee Conrad	New York Stock Exchange Works to Repair Its Image Investors don't care, but seat prices at the NYSE are down.
Investment Advisor January 2006 Melanie Waddell	The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE).
CFO November 1, 2003	Sarbox's Unseen Costs "The crucial unseen cost is that of innovations foregone or delayed," says a reader. More letters to the editor: Microsoft on options... thoughts on Black-Scholes... expensing flaw... the root of the problem
The Motley Fool March 3, 2004 Selena Maranjian	Mutual Funds at Record Highs People are flocking to mutual funds despite recent scandals.
Reason January 2009 Katherine Mangu-Ward	Is Deregulation to Blame? The new Washington consensus says "yes." The facts on the ground say something different.
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 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?