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BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
BusinessWeek September 22, 2003 Der Hovanesian et al.	How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
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 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 January 19, 2004 Borrus & Dwyer	How To Crack Down On Mutual-Fund Fees The SEC should require uniform cost disclosure.
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.
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 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
BusinessWeek January 12, 2004	The Mutual-Fund Scandals Leaving the little guy in the dark made for some nice payoffs, but the comeuppance stands to be even heftier as funds face legal actions.
Registered Rep. December 2, 2003 Will Leitch	Spitzer, OCC Issue Corporate Death Penalty The news came right before the Thanksgiving holiday, so you might have missed it. But let there be no doubt: The mutual fund investigations have now gone nuclear.
CFO May 1, 2004 Roy Harris	Raiding the Returns Hidden costs and high fees eat into 401(k) plan benefits.
The Motley Fool July 15, 2004 Tim Beyers	SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register.
CFO December 1, 2003 Linda Corman	Subject to Failure Recent scandals in the mutual-fund industry leave employers questioning the security of their plans.
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?
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.
BusinessWeek July 28, 2003 Borrus & McNamee	States vs. the SEC: What's All the Shouting for? On the surface, it looks like the fragile alliance between state and federal securities cops is crumbling. There's more -- and less -- going on here than meets the eye.
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
BusinessWeek February 28, 2005 Amy Borrus	Donaldson's Balancing Act The SEC chairman plans further reforms -- mixed with business-friendly flexibility.
The Motley Fool April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
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.
Financial Advisor February 2004 Tracey Longo	Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals.
The Motley Fool June 20, 2005 S.J. Caplan	7 Reasons to Bid Donaldson a Fond Adieu Investors should appreciate what was accomplished in the SEC chairman's tenure.
Financial Planning July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
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.
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
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 June 28, 2004 Emily Thornton	Mutual Funds: The Cost Of Full Disclosure With Securities & Exchange Commission Chairman William H. Donaldson pushing for new rules aimed at providing greater safeguards for mutual-fund investors, brokerages worry that implementing them will cost billions of dollars.
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.
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?
BusinessWeek November 24, 2003 Paula Dwyer	The Big Board's Blueprint: Done Deal? New York Stock Exchange critics feel shortchanged by interim Chairman John S. Reed's new governance plan, but the SEC is already on board.
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.
BusinessWeek July 19, 2004 Borrus & Dwyer	Lobbying For Laissez-Faire Hedge funds are pouring money into campaign coffers in the U.S. to stop SEC regulation.
BusinessWeek November 5, 2009 Christopher Palmeri	Is It CalPERS' Turn to Clean House? The powerful California pension fund is catching flak for not practicing what it preaches.
BusinessWeek May 13, 2010 Robert Schmidt	The Charmed Life of Hedge Funds As banks get a tighter leash, funds may remain lightly regulated
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.
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?
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.
Wall Street & Technology February 12, 2004 Jessica Pallay	Operation Mutual Fund The SEC is on a mission to bring order to the chaotic state of the mutual-fund industry.
The Motley Fool March 22, 2004 Shannon Zimmerman	Spitzer Rides Again Chalk another one up to General Eliot Spitzer and his war on bad funds.
CFO January 30, 2004 Tim Reason	Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds.
Registered Rep. April 23, 2007 Kevin Burke	At Last: Pilgrim Baxter Shareholders To Get `Market-Timing' Restitution The move is the first in a series of three disbursements from the Fair Fund coffers that will pay out $267 million to over 384,000 affected PBHG Funds shareholders.
BusinessWeek June 28, 2004 Amy Borrus	Who's Right, The SEC Or Ned Johnson? The agency says independent chairmen at mutual funds are better for shareholders.
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.
Registered Rep. June 1, 2005 John Churchill	SEC to Lose Its Head Some say the departure of SEC Chairman William Donaldson, appointed by President George W. Bush to help restore confidence in scandal-ridden markets, can't result in anything positive for the Commission's agenda in the near future.
BusinessWeek January 12, 2004	A White Knight For Mutual-Fund Investors No mutual-fund executive wants to get a phone call from Eliot Spitzer these days.
BusinessWeek October 6, 2003 Stephen B. Shepard	Straight Talk from Eliot Spitzer The New York Attorney General speaks on the mutual-fund investigations and other issues
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Registered Rep. September 1, 2005 Stan Luxenberg	Gray Matter 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 matter is getting murkier.
Investment Advisor May 2009 Melanie Waddell	Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.