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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.   |
Investment Advisor
September 2009
Melanie Waddell |
SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme. |
HBS Working Knowledge
May 1, 2006
Ann Cullen |
What Companies Lose from Forced Disclosure What researchers are now discovering is that increasing levels of mandatory financial disclosure have unforeseen consequences on executive performance and may work against the interests of employers. |
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? |
U.S. Banker
July 2011
Harry Terris |
Bank Reputation: Getting Just a Little More Love For most large companies, products and services are what cements a strong reputation. Not so for banks. At least since the crisis, consumers have cared more about the governance of banks. And even more than governance, what they care about now is performance. |
Wall Street & Technology
June 29, 2005
Maria Santos |
Thomsen Replaces Cutler at SEC Enforcement Head The SEC named Linda Chatman Thomsen director of the division of enforcement. Thomsen joined the SEC in 1995 and has served as the enforcement division's deputy director since 2002. |
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
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
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. |
| Knowledge@Wharton |
Global Securities Markets Present Tough Challenges for Investors and Regulators The bursting of the Internet bubble, the collapse of Enron and the emerging demutualization of securities exchanges, especially in Europe, have brought the role of securities market regulators into sharper focus than before... |
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
August 2009
Melanie Waddell |
Congress Presses Schapiro to Protect Investors While members of Congress praised SEC Chairman Schapiro for acting quickly to institute changes at the agency, lawmakers said more work needs to be done to protect investors. |
BusinessWeek
October 13, 2003
Robert Kuttner |
The Big Board: Crying Out for Regulation The Grasso pay debacle means the SEC should supervise the NYSE. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
On Wall Street
April 1, 2013
Kenneth Corbin |
SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more. |
CFO
April 1, 2004
Ronald Fink |
Playing Favorites Why Alan Greenspan's Fed lets banks off easy on corporate fraud. |
Wired
February 2002
Adam Lashinsky |
The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action... |
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. |
The Motley Fool
March 24, 2009
Smith & Bleeker |
Who's More to Blame: Congress or the SEC? March Stock Madness -- Second Round: Let's bullet-point some of the failures of both Congress and the SEC to determine which is more to blame for the current crisis. |
Registered Rep.
March 11, 2009
Halah Touryalai |
Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings. |
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. |
BusinessWeek
May 20, 2010 |
This Cop's Beat Is Wall Street George Canellos left private practice 10 months ago to take over the New York office of the Securities & Exchange Commission |
Investment Advisor
June 2009
Melanie Waddell |
Danger & Opportunity: Obama and SEC Enforcement Under Microscope As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way. |
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. |
Investment Advisor
April 2009
Melanie Waddell |
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm |
National Defense
November 2011
Piazza & Ayers |
Regulators Flex Foreign Corrupt Practices Act Enforcement Muscles Continuing a trend that started late in the last decade, the Securities and Exchange Commission this year continues to raise the bar on the enforcement of the Foreign Corrupt Practices Act of 1977. |
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. |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
Investment Advisor
August 2005
Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. |
BusinessWeek
February 14, 2005 |
What Gets the SEC's Atkins Riled Up Says the outspoken commissioner: "We shouldn't take a one-size-fits-all approach" to rule-making |
BusinessWeek
May 16, 2005 |
How the Merc Defends Its Board Three top officials argue that having directors with industry ties has been a key to its success. |
BusinessWeek
May 14, 2009
Maria Bartiromo |
SEC Chief Mary Schapiro: The Watchdog's New Teeth A discussion with with the new SEC Chief Mary Schapiro. |
CFO
April 1, 2005
Tim Reason |
The Limits of Mercy The cost of cooperating with the SEC is high. The cost of not cooperating is even higher. Faced with financial penalties, career-ending bans, and possible criminal prosecution, more individuals are choosing to fight the SEC. |
BusinessWeek
June 18, 2007
Dawn Kopecki |
Backdating: Why Penalties Are Puny The SEC considers options violations less serious than other kinds of financial fraud. |
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. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
Registered Rep.
January 1, 2006 |
60 Seconds With...Grace Vogel An interview with the executive vice president of Member Firm Regulation for New York Stock Exchange Regulation about regulatory duplication and the NYSE's enforcement record. |
Investment Advisor
September 2008
Melanie Waddell |
SEC, DOL to Share Data The SEC and Department of Labor agree to share information on retirement and investments in an effort to protect the $5.8 trillion in retirement assets of American workers. |
Registered Rep.
June 18, 2010
Bill Singer |
The UK Junks Its FSA, When Will We Junk The SEC The SEC is a gas-guzzling dinosaur of a vehicle whose engine warning-light went on years ago. It is a wheezing, dyspeptic boiler in our basement. Nothing good will come of this. |
Registered Rep.
June 24, 2015
Gregory Taggart |
FATCA And The New Era of Global Transparency It's taken some time, but it's harder for U.S. citizens to hold foreign accounts away from the eyes of the IRS. |
Financial Advisor
July 2012
Brian Hamburger |
SEC Soft On Big Firms Lehman Brothers is just one example of the regulator's long history of enforcement double standards. |
CFO
May 1, 2010
Sarah Johnson |
The SEC Has a Few Questions for You This is the envelope no CFO looks forward to opening, even if the inquiry proves to be fairly routine. |
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. |
Investment Advisor
September 2008
Melanie Waddell |
Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform. |
BusinessWeek
November 29, 2004
Amy Borrus |
Rating Agencies Get A Credit Check The SEC and European regulators are debating new rules for the U.S.-led credit rating industry. The commission probably will ask Congress for authority to require rating agencies to open their books and records to the SEC. |
BusinessWeek
July 26, 2004
Paula Dwyer |
The SEC To Top Execs: Read The Fine Print The Ken Lay criminal indictment has overshadowed the parallel SEC civil lawsuit. But corporate insiders and their attorneys would be wise to give the SEC complaint a close read. |
BusinessWeek
March 21, 2005
Amy Borrus |
Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters. |
The Motley Fool
October 7, 2008
Alyce Lomax |
The SEC Has Let Us Down Who's the SEC looking out for again? It's not you or I. |
