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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 December 17, 2003 Bill Mann	CalPERS Sues the NYSE Bad governance at the Big Board has riled up the $154 billion pension manager.
The Motley Fool August 21, 2006 Alex Dumortier	VDM's Not So Special(ist) Rules and regulations bring uncertainty to a once-solid franchise. Value investors should consider that purchasing this Amsterdam-based specialist firm's shares is closer to speculating than investing.
Wall Street & Technology March 1, 2004 Ivy Schmerken	Changing of the Guard The NYSE's new Chief Executive John Thain is moving quickly to increase automatic execution on the floor. Will there still be a role for specialists? Will he dismantle the auction model? How far will John Thain go?
BusinessWeek August 16, 2004 Paula Dwyer	The Big Board's Big Compromise It's making electronic trading easier -- but the NYSE is still a long way from even matching the Chinese-menu array of trading styles offered by electronic rivals.
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.
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.
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 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.
The Motley Fool December 19, 2003 Tom Taulli	Goldman's Midas Touch The CEO leaves for the NYSE, while trading continues to bring in the bucks.
The Motley Fool May 21, 2004 Paul Elliott	Call That Strong Medicine? Richard Strong and Strong Capital Management settle with Spitzer over market timing of the Strong funds. Was the penalty harsh enough?
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
The Motley Fool May 18, 2004 Rich Smith	Lucent's Cloudy Picture Lucent settles one out of three SEC investigations it's facing.
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.
The Motley Fool January 12, 2004	Nasdaq Battles NYSE The junior exchange has lured six companies from the Big Board. Sort of.
CFO January 1, 2004 Kate O'Sullivan	Market Timing Despite the controversy surrounding the NYSE, Keane Inc., an information-technology service provider, makes the move to the Big Board.
The Motley Fool March 16, 2004 Seth Jayson	Dollar General Dodges Bullet The discounter pays its way out of an SEC bookkeeping imbroglio with the usual spineless settlement.
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."
BusinessWeek September 13, 2004 Mara Der Hovanesian	Put The Big Board On The Big Board Why the nation's largest stock exchange should go public.
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.
The Motley Fool March 10, 2004 Seth Jayson	SINA Bash 'n' Cash Backfires An attempted Internet-powered security manipulation yields -$24,650.
Wall Street & Technology June 4, 2004 Ivy Schmerken	Reg NMS: Divided We Stand Unable to define fast versus slow markets, the industry is split over the SEC proposal to amend the trade-through rule.
Investment Advisor September 2009	Broker/Dealer News Actions by the SEC and FINRA
Chemistry World March 16, 2015 Rebecca Trager	Drug firms warned to be honest with investors The US Securities and Exchange Commission is concerned that too many pharmaceutical companies aren't being sufficiently transparent with investors about their interactions with regulators at the US Food and Drug Administration.
The Motley Fool August 24, 2004 Seth Jayson	Shell Shocked? SEC announces a settlement with Royal Dutch Petroleum and Shell Transport over inflated reserves. Long-suffering investors are wondering if this might finally clear the air.
The Motley Fool January 9, 2004 Dave Marino-Nachison	SEC Watching Dollar General The government may act against the retailer in connection with past earnings restatements.
The Motley Fool March 16, 2004 Alyce Lomax	Leapin' Lehman! The brokerage reports a fabulous first quarter. Things are looking good for brokerage companies, and their stocks reflect that.
The Motley Fool August 30, 2004	Who's in the Dow? Did you realize that the Dow is an average of just 30 companies?
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.
The Motley Fool March 15, 2004 Rick Aristotle Munarriz	Brokers on Parade Wall Street gets some home cooking when its investment banks step up with earnings.
The Motley Fool September 21, 2004 Tim Beyers	Franklin Can't Come Clean Massachusetts gets a $5 million settlement as the fund firm admits that an investor engaged in market timing.
Wall Street & Technology December 12, 2007 Larry Tabb	NYSE Specialist Elimination Is Overdue The NYSE specialist may soon be eliminated and replaced with designated market makers. But whether these new market intermediaries are effective and profitable is questionable.
The Motley Fool June 22, 2004 Mark Mahorney	The Economy vs. Rates Debate Goldman Sachs released some impressive second-quarter numbers this morning. However, investors have been convinced that rising interest rates will hurt the bottom lines of this as well as other brokerages.
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.
The Motley Fool June 28, 2004 Rick Aristotle Munarriz	Food for Fiscal Thought Food makers will open the cupboards this week to take stock of their quarterly earnings.
The Motley Fool April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
The Motley Fool September 29, 2004 Selena Maranjian	Brokerages Become More Compliant New rules aim to keep brokerages on the straight and narrow.
The Motley Fool July 7, 2004 Phil Wohl	Accenture's Balancing Act The large consulting firm is holding steady in the face of ever-changing demand. The company reported third-quarter earnings of $0.37 per share that were in line with the analysts' estimate and $0.09 better than last year's results.
Registered Rep. September 10, 2008	Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities.
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.
The Motley Fool May 27, 2004 Bill Mann	Dick Strong: How Sorry Are You? With Wells Fargo buying his company, Strong can now pay a big SEC fine out of his lint drawer.
Financial Planning September 1, 2008 Andrew Ackerman	SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices.
The Motley Fool March 16, 2004 Jeff Hwang	Schwab Scores $1 Trillion, Again A healthy market puts the broker's assets over the milestone mark again.
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?
The Motley Fool November 11, 2011 John Reeves	Banks Promise Not to Commit Fraud ... Until Next Time Banks have been signing pledges that they do not follow through on.
The Motley Fool April 6, 2004 Selena Maranjian	Fidelity Chairman Challenges SEC In an editorial, Edward Johnson challenges the Securities and Exchange Commission's proposal to require all chairpersons of mutual funds to be "independent" -- meaning they'd have no stake in the fund's management company.
The Motley Fool May 18, 2004 Rick Aristotle Munarriz	Flunkin' Out at Oxford The once-promising discount broker tries to overcome its recent shortcomings.
BusinessWeek August 11, 2003 Dwyer & Borrus	NASDAQ: The Fight of Its Life The once-dazzling market is on the ropes as the bear market, fierce competition -- and hubris -- take their toll.
The Motley Fool May 11, 2004 W.D. Crotty	Boom Profits, Bust Prices Relatively staid Greek shipper Tsakos Energy Navigation just reported glamour-stock results. First-quarter revenue was up 43% and net income jumped 85%. Based on analyst estimates for 2004, the stock is trading at a rock-bottom 6.3 times forward earnings.
The Motley Fool July 13, 2004 Selena Maranjian	Wanted: Wall Street Analysts Are Wall Street analysts, the "sell-side" analysts who work for brokerages, an endangered species? Should you care? For investors expect to see less research available on many smaller companies.