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The Motley Fool June 28, 2005 Tim Beyers	Checking Out IBM's Options The SEC looks into Big Blue's options-expensing charade. Investors should, too.
InternetNews January 13, 2006 Clint Boulton	SEC is Probing IBM Earnings The Securities and Exchange Commission's investigation into IBM's first-quarter 2005 accounting practices is now official.
The Motley Fool December 15, 2006 Rich Smith	Foolish Forecast: Hoping for Progress The beleaguered software maker steps up to the plate to deliver its earnings report for fiscal fourth-quarter and full-year 2006. Investors, take note.
The Motley Fool May 12, 2010 Rich Duprey	Moody's Goes Rogue Ratings agency fails to disclose receipt of SEC investigation notice as CEO dumps stock.
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.
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.
Registered Rep. May 10, 2007 Kristen French	SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC.
The Motley Fool May 24, 2005 Jeff Hwang	Red Flags: 3 Signs a Stock May Crash Like traffic accidents, investing accidents occur more frequently than we would like to think. If you are holding the wrong stocks, it's time to change lanes.
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.
InternetNews April 13, 2004 Colin C. Haley	Report: SEC to Charge TW Over AOL Ad Deal A probe over the ISP's accounting for $400 million in questionable ad revenue will reportedly culminate in a formal charge for AOL parent Time Warner this summer.
The Motley Fool August 2, 2007 Lawrence Rothman	TurboChef Wastes Fuel Marketing costs and an SEC inquiry sap money from the cooking-systems company. Investors, take note.
The Motley Fool November 14, 2011 John Reeves	Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case.
The Motley Fool August 31, 2004 W.D. Crotty	A Mirage or a Great Speculation? United Rentals' stock sinks sharply as the SEC investigates the company.
The Motley Fool July 12, 2007 Brian Lawler	Dendreon Under Attack Following an unfavorable regulatory decision for its lead drug Provenge, the biotech is now the focus of an SEC inquiry.
InternetNews May 23, 2007 David Needle	HP Settles With SEC Over Boardroom Drama The Securities and Exchange Commission said HP should have reported reasons for board member's resignation.
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.
Registered Rep. April 28, 2010 Bill Singer	The SEC's Own Report Says that It Missed Tips and Clues in a Giant Ponzi Some have alleged improper political motives in the Stanford case, which the SEC has denied.
The Motley Fool June 24, 2004 Bill Mann	Allied Capital Punishment Business development corporation Allied Capital's stock dropped more than 10% in trading today after the company disclosed it's the target of an informal SEC investigation.
BusinessWeek October 30, 2006 Emily Thornton	A Steady Drip of Buyout Leaks The Justice Dept. is investigating several cases where insiders may have traded on nonpublic information.
The Motley Fool January 25, 2005 Rich Smith	Corinthian Exonerated Educator's stock rises as the SEC calls off its dogs.
The Motley Fool July 12, 2005 Stephen D. Simpson	RenaissanceRe's Dark Ages An executive resigns, refusing an SEC subpoena? Doesn't sound good for the worldwide reinsurance specialist.
Investment Advisor June 1, 2011 Thomas D. Giachetti	From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.
CFO March 1, 2010 Sarah Johnson	Nonplussed by Non-GAAP CFOs are dismayed and discouraged by the SEC's approach to non-GAAP reporting.
Investment Advisor October 2009 Melanie Waddell	SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff.
Financial Planning July 1, 2008 Jane Worthington	Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination.
The Motley Fool November 11, 2004 Rich Smith	SEC Targets Lucent Ex-Execs Investigation into alleged Saudi bribery by its Chinese subsidiary moves ahead. Lucent's stock has dropped 15% in value.
InternetNews December 21, 2010	SEC Investigating ex-HP CEO Mark Hurd The SEC is looking into charges that Hurd may have leaked confidential information to a contractor.
National Defense September 2011 McGrath et al.	New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial.
U.S. Banker September 2007 Lee Conrad	Oversight: Hedge Fund Transparency At Issue...Again The Securities & Exchange Commission is attempting to shine a spotlight on the most opaque of investments-hedge funds-by creating a working group in its enforcement division to combat insider trading.
Registered Rep. January 27, 2010 David A. Geracioti	The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment?
Financial Planning January 5, 2008 Max Mejiborsky	Compliance A string of recent administrative proceedings have revealed that recidivism continues to plague the investment advisor community, despite an increased emphasis on compliance and the SEC's Compliance Programs Rule.
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."
The Motley Fool February 14, 2005 Rich Duprey	Chiron Probe Goes Formal SEC upgrades investigation into vaccine manufacturer. Was Chiron was as surprised by the contamination debacle as investors and U.S. regulators were?
InternetNews December 5, 2007 Larry Barrett	Novell Delivers a Different Kind of Earnings Surprise Novell caught everyone unawares this morning when it failed to report its fourth-quarter and year-end results.
On Wall Street November 1, 2009	Marcia Kramer Mayer Marcia Kramer Mayer of NERA Consulting speaks about how the SEC should look to the example set by the IRS, which uses computerized searches to identify investment fraud problems.
Registered Rep. July 24, 2007 John Churchill	SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers.
The Motley Fool September 30, 2010 Anders Bylund	Black Clouds Over Green Mountain If you can't trust the revenue line, how can you make an investment decision?
Registered Rep. April 1, 2005	Ratting on Regulators Don't like the way that SEC investigator treated you while rifling through your files? Well, now you can report him.
Wall Street & Technology September 21, 2004 Beth Bacheldor	Looking for Trouble Under new IT leadership, the U.S. Securities and Exchange Commission is upgrading technology to become a better watchdog and maintain market confidence.
Wall Street & Technology February 27, 2005 Beth Bacheldor	A Watchdog to Watch In his first CIO job, Corey Booth, just 34 years old, is leading the IT department of one of the country's most closely watched and influential government agencies: the Securities and Exchange Commission.
The Motley Fool March 10, 2004 Selena Maranjian	Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem.
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.
Financial Planning February 1, 2007 Lynn Hume	The Bond Buyer The Justice Department and SEC investigations of municipal-bond-related investments and derivatives will overshadow, if not dominate, much of what happens on the securities side of the muni market during the coming year.
The Motley Fool June 20, 2006 Seth Jayson	SEC Slaps Tube Traders A few South American account holders are charged with trading Maverick Tube on inside information. The SEC is, so far, short on the details of just how these people got insider information.
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.
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?
Registered Rep. February 4, 2009	SEC, FINRA, Hit Hard By Markopolos Testimony The famously ignored Madoff whistleblower testified before the House Financial Services Committee that the SEC is "incompetent," among other things -- and had even harsher words for FINRA.
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.
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.
InternetNews May 17, 2004 Colin C. Haley	Lucent Settles SEC Complaint The company looks to eliminate distractions in an improving climate for network equipment.