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BusinessWeek
June 18, 2007
Dawn Kopecki |
Backdating: Why Penalties Are Puny The SEC considers options violations less serious than other kinds of financial fraud.   |
BusinessWeek
February 14, 2005
Amy Borrus |
Dr. No Digs In At The SEC When the Securities & Exchange Commission voted behind closed doors late last year to fine Goldman Sachs Group Inc. $40 million for allegedly trying to pump up the prices of initial public stock offerings, there was one holdout. |
BusinessWeek
January 23, 2006
Amy Borrus |
The Unlikely Hardnose At The SEC Securities & Exchange Commission Chairman Chris Cox wants all CEO pay revealed. |
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. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
Entrepreneur
November 2005
Scott Bernard Nelson |
New Cop in Town Will new SEC chairman Christopher Cox set you free from regulation? |
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. |
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. |
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 |
BusinessWeek
August 9, 2004
Amy Borrus |
At The SEC, The Agony Of Compromise Chairman Donaldson is finding a deal on proxy reform elusive in an election year. Yet, despite competing pressures, his resolve shows no sign of waning. |
Registered Rep.
February 9, 2007
Kevin Burke |
SEC Big Says Waiver Tactics Can Backfire An SEC commissioner today said that asking broker/dealers and investment advisory firms to waive their legal right to attorney-client privilege in order to speed up the pace of enforcement investigations is shortsighted. |
InternetNews
May 31, 2007
Clint Boulton |
SEC Settles Backdating Cases With Mercury, Brocade The Securities and Exchange Commission settled stock-option backdating cases with Mercury Interactive and Brocade Communications Systems totaling $35 million. |
Registered Rep.
November 21, 2007
Halah Touryalai |
SEC Fines At Four-Year Low The fall in fines comes after complaints from Republican commissioners and business groups that say the penalties hurt investors. Meanwhile, Democrats say the heavy fines deter fraud. |
CFO
February 1, 2006
Alix Nyberg Stuart |
Penalty Box The SEC is handing out bigger and bigger fines for misdeeds. But is this the right approach? |
Registered Rep.
March 1, 2006
Barry Rehfeld |
Another Tough Top Cop? When President Bush tapped Christopher Cox to replace William Donaldson, it looked like Bush was swapping an aggressive reformer for a kinder, gentler regulator. Yet since he took over as SEC chairman, Cox has shown that he is not the anti-Donaldson. |
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? |
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. |
InternetNews
December 15, 2004
Tim Gray |
Time Warner Settles Fraud Case Time Warner said today that it has agreed to pay $210 million in criminal and civil fines to settle a federal fraud case stemming from allegedly shady advertising deals within its America Online division. |
Salon.com
May 17, 2002
Damien Cave |
Lock up the analysts and throw away the key An investor who followed expert advice lost $100,000. He wants vengeance, but history suggests he's not likely to get it... |
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. |
CFO
April 1, 2003
Kris Frieswick |
Fraud Squad Federal investigators are on a crusade to elevate corporate misdeeds to criminal offenses. |
InternetNews
September 22, 2004
Jim Wagner |
Former CA CEO Indicted Sanjay Kumar is charged with securities fraud, conspiracy and obstruction offenses, while his former company Computer Associates strikes a deal to avoid court. |
BusinessWeek
July 29, 2010
Jesse Westbrook |
Whistleblowers Get a Raise The SEC will offer up to 30 percent of the money from fines to reward tipsters. |
BusinessWeek
February 28, 2005
Amy Borrus |
Donaldson's Balancing Act The SEC chairman plans further reforms -- mixed with business-friendly flexibility. |
Knowledge@Wharton
January 29, 2003 |
Lawyers and Accountants Can Expect Curbs and Compromises in New SEC Rules Recent rules adopted by the U.S. Securities and Exchange Commission to curb the kind of legal and accounting shenanigans that toppled companies like Enron and Arthur Andersen are not as strong as the SEC first indicated they might be. But do they still have enough teeth to work? |
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 |
Registered Rep.
August 9, 2007
John Churchill |
Campos Out at SEC Roel Campos, one of five SEC commissioners and one of the two Democrats, is stepping down, leaving for the private sector. |
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. |
BusinessWeek
October 20, 2003
Dwyer & Thornton |
Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others? |
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. |
InternetNews
July 21, 2006
Ed Sutherland |
Former Brocade Execs Charged in Stock Scandal Brocade becomes just the latest caught in the stock options mess. Feds say the company fraud cost investors millions. |
BusinessWeek
September 26, 2005
Amy Borrus |
The SEC: Cracking Down On Spin The Securities & Exchange Commission is going after executives for skimpy or misleading disclosures in annual reports. |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
The Motley Fool
June 5, 2007
Rich Duprey |
SEC Backs Scheme Liability In an effort to deflect the criticism that it's too pro-business, the SEC has decided to back a theory that may ultimately prove to be a particularly shareholder-hostile action. |
InternetNews
April 24, 2007
Michael Hickins |
SEC Charges Former Apple Attorney With Fraud SEC levies fraud charges at Apple's former general counsel and settles with its former CFO in connection with a stock options backdating scandal. |
BusinessWeek
October 21, 2009
Farzad & Francis |
The SEC's Tough New Offensive on Insider Trading It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast. |
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. |
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. |
The Motley Fool
December 17, 2004
Bill Mann |
AOL: Is Half a Billion Enough? Time Warner pays big to settle fraud charges against its problem child, AOL. As for the current management at Time Warner, they profess to want to conclude things with regulators so that they can once again tap the equity market for currency for acquisitions and other capital needs. |
CFO
March 1, 2003
Tim Reason |
Two Weeks in January The SEC put much of the Sarbanes-Oxley Act into effect by passing a slew of new rules. Here's what was proposed and what was disposed. |
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. |
InternetNews
January 6, 2004
Colin Haley |
IBM Korea Scandal Prompts U.S. Inquiries The DOJ and SEC are reportedly looking into bribery and bid-rigging allegations against the IT giant's South Korean subsidiary. |
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. |
CFO
July 1, 2007
Scott Leibs |
Five Years and Accounting This story is Part 1 in a three-part series on how corporate finance has changed since the Sarbanes-Oxley Act was passed. |
BusinessWeek
December 3, 2007
Nanette Byrnes |
Proxies: The SEC's Stopgap Solution Chairman Cox indicates he'll vote against shareholder access to corporate proxies, but the agency will revisit the issue next year. |
BusinessWeek
December 1, 2003
Borrus & Dwyer |
The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry. |
The Motley Fool
June 23, 2005
Tim Beyers |
Fund Independence Day Fizzles Why did a court stall the SEC's attempt to add independence to mutual-fund boards? |
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 |
InternetNews
September 21, 2007
David Needle |
Steve Jobs to Testify in Backdating Case Apple CEO Steve Jobs has reportedly been subpoenaed by the Securities and Exchange Commission to testify in a stock-options back-dating case against Apple's former general counsel, Nancy Heinen. |
Reason
October 2003
Michael McMenamin |
St. Martha Why Martha Stewart should go to heaven and the SEC should go to hell. |
