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The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
HBS Working Knowledge July 11, 2012 Jay Lorsch	Book Excerpt: 'The Future of Boards' In an excerpt from "The Future of Boards," the author discusses why directors are newly questioning their roles.
Knowledge@Wharton July 30, 2003	Has Sarbanes-Oxley Made a Dent in Corporate America's Armor? In the 12 months since it was signed by President Bush, the landmark Sarbanes-Oxley Act has caused U.S. companies to spend heavily on compliance, altered the culture of boardrooms and boosted the business of firms that offer ethics and compliance consulting. To what end?
HBS Working Knowledge August 9, 2004 Lucian A. Bebchuk	Bring Shareholders into the Board Room How can we improve board performance? One way is by reducing the extent to which boards are insulated from, and unaccountable to, shareholders.
The Motley Fool December 1, 2008 Rich Duprey	Corporate Boards Are Broken Extreme measures are needed to get boards to do their jobs.
Registered Rep. January 1, 2005	The Wrong Medicine? The SEC's requirement that mutual fund boards be stocked with more independent executives met with jeers when it was passed last year. Now, the raspberry blowers have some research to back up their disdain.
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.
CFO October 1, 2002	Reform: How the Corporate Landscape Is Changing Everyone from Congress to the journalist next door has a reform proposal to promote. This article assesses the likelihood of passage as well as the potential impact of several proposals.
Knowledge@Wharton May 7, 2003	Those Who Sit on Company Boards Face a New, Tougher Job Description Two longtime executives and board members talk about the changing role of boards of directors in what they say is becoming an increasingly volatile, litigious and risky environment.
HBS Working Knowledge July 5, 2006 Joseph Hinsey	Corporate Governance Activists are Headed in the Wrong Direction Corporate governance reformers are pushing the idea of majority voting for directors. But that solution won't produce the desired outcome. The answer? Keep CEOs and board chairs separate.
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.
CFO September 1, 2012 Caroline McDonald	Reputational Risk Tops Board Worries Directors are taking their companies' good names very seriously.
Financial Advisor November 2003 Marla Brill	Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.
BusinessWeek September 27, 2004	"You Cannot Legislate Honesty" Fund manager Robert Olstein, in a candid interview, says the SEC regulators have overstepped the mark.
Bank Director 4th Quarter 2009	For Your Review What financial institutions directors are thinking about-the results of 2009 research by Corporate Board Member and PricewaterhouseCoopers LLP... What's ahead for banking...
National Defense February 2014 Jay B. Stephens	Companies Need Sound Governance In publicly-traded aerospace and defense companies, strong internal controls in an organization -- especially in business units far from the mother ship -- are essential to transparency and process fidelity.
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 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 February 1, 2005 Steven K. McGinnis	Must SROs Go? A new SEC proposal to separate trading functions from regulatory activities at the exchanges could have far-reaching effects.
The Motley Fool May 14, 2004 Selena Maranjian	Shareholders Take Action Here are some tips on how to make a difference with your holdings.
Bank Director 1st Quarter 2010 Jack Milligan	Winds of Change These are truly challenging times for banks, and for bank directors. A weak U.S. economy has made it difficult for most institutions to find enough good lending opportunities to go around.
Bank Director 3rd Quarter 2009	Compensation at the Fore In this sampling of bank directors' opinions on the hot topics of the day, we look at issues related to executive compensation.
IndustryWeek August 1, 2005 Jill Jusko	Beefed Up Boards More diligent and accountable, today's directors are scrutinizing executive compensation like never before -- and changing the dynamic of the board-management relationship.
Bank Director 4th Quarter 2010 Kimberly Crowe	2010 Director Compensation Review The results of the latest compensation survey offer an in-depth review of industry pay practices and reveal how the latest issues and trends in compensation are affecting banks and directors nationwide.
Financial Advisor June 2005 Raymond Fazzi	Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging.
Bank Director 3rd Quarter 2010 Jeanine Catalano et al.	Effective Strategies to Support Board Deliberations A toolkit of five practical techniques to use when gathering information and considering complex issues.
Real Estate Portfolio Jul/Aug 2003 James B. Wright	Governing REIT Compensation As recent well-publicized REIT proxy/management battles have demonstrated, REIT governance issues are no longer under the radar. In time, shareholder concerns (and any REIT vulnerabilities) relative to independent compensation decisions will also receive scrutiny.
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.
Knowledge@Wharton December 18, 2002	Re-Examining the Role of the Chairman of the Board Faculty members at Wharton and a board member of a major U.S. corporation say that while there are some circumstances in which a division of authority between a chairman and a CEO may make sense, it is by no means a surefire way to keep companies on the straight and narrow.
Financial Advisor November 2003 Harold Evensky	Better Late Than Never Action regarding mutual fund abuses should have come sooner.
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.
HBS Working Knowledge August 16, 2004 Manda Salls	Achieving Balance in Nonprofit Governance Nonprofits are facing increasingly complex regulatory and boardroom challenges, says Harvard University's Marion R. Fremont-Smith. Can organizations respond while maintaining their missions?
BusinessWeek April 8, 2010	Compromising on Reform Selected provisions from the Dodd bill.
Registered Rep. December 1, 2004 Stan Luxenberg	Is the Juice Worth the Squeeze? The overhaul of the mutual fund industry spearheaded by Eliot Spitzer is widely viewed as a victory for investors, but some analysts are challenging that notion.
CFO June 1, 2008 Kate O'Sullivan	Not-So-Modest Proposals For board members the choice is clear: support shareholder proposals that win a majority vote or risk losing the director seat.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
HBS Working Knowledge December 6, 2004 Mallory Stark	Executive Comp: Pay Without Performance Out-of-control executive compensation schemes are "widespread, persistent, and systemic," and new reforms won't clean up the mess, argue two law professors in this Q&A and book excerpt.
Wall Street & Technology February 25, 2005	Regulators in the Driver's Seat Regulation is here to stay and remains the No. 1 driver for IT organizations within securities and investments businesses for 2005, says recently released research by TowerGroup.
HBS Working Knowledge January 17, 2007 Malcolm Salter	Learning from Private-Equity Boards Boards of professionally sponsored buyouts are more informed, hands-on, and interventionist than public company boards. The author argues that this board model could have helped Enron and perhaps your company as well.
HBS Working Knowledge December 1, 2003	Is This the Twilight Era for the Managed Mutual Fund? What is the answer to allegedly poor mutual fund governance practices? Can mutual fund directors, often responsible for dozens of funds in a fund family, be expected to exercise adequate oversight? Or must practices be corrected through added regulation? Or is the problem deeper than this?
The Motley Fool April 21, 2010	The Motley Fool's Testimony on Corporate Governance and Shareholder Empowerment Shareholders should have a bigger say in how companies are run.
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?
Finance & Development December 1, 2002 Das et al.	Financial Regulators Need Independence Granting more operational autonomy to the agencies that keep an eye on the financial sector can bolster financial stability.
U.S. Banker December 2008 John Schneider	Transparency and Regulation are Coming to the CDS Market Currently, the financial markets do not have a mechanism to evaluate the overall exposure to CDS contracts. All that is going to change soon.
Bank Director 2nd Quarter 2010 Jack Milligan	Knee Deep in Regulation As part of the fallout from the latest financial crisis, bankers are wading through new layers of regulation while scanning for clearer skies ahead.
The Motley Fool September 17, 2007 Selena Maranjian	The SEC May Shut You Up If you want to keep the right to influence your companies, let the SEC know. The SEC has recently proposed changing rules for shareholders -- in ways that don't seem to protect them at all.
Financial Planning April 1, 2010 Brian Hamburger	Full Disclosure Protecting client privacy is one of the most important responsibilities of any financial advisor. And it's about to become one of the most time-consuming and highly regulated aspects of the business as well.
Finance & Development September 2009 Randall Dodd	Overhauling the System The United States is proposing the most radical reform of financial regulation since the New Deal.
BusinessWeek January 22, 2007 Byrnes & Sasseen	Board of Hard Knocks Activist shareholders, tougher rules, and anger over CEO pay have put directors on the hot seat.