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Registered Rep. February 22, 2005 Will Leitch	SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately.
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?
Registered Rep. November 7, 2003 David A. Geracioti	SEC Chief "Distressed" at "Wrongdoing" in Industry SEC Chairman William Donaldson's favorite word is distressed -- at least that was true during both his speech to the Securities Industry Association annual meeting and the press briefing that followed.
BusinessWeek September 27, 2004	"You Cannot Legislate Honesty" Fund manager Robert Olstein, in a candid interview, says the SEC regulators have overstepped the mark.
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.
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
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.
Registered Rep. September 1, 2005 Stan Luxenberg	Gray Matter When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the matter is getting murkier.
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.
The Motley Fool July 15, 2004 Tim Beyers	SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register.
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.
Entrepreneur November 2005 Scott Bernard Nelson	New Cop in Town Will new SEC chairman Christopher Cox set you free from regulation?
Financial Advisor November 2003 Marla Brill	Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.
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.
Financial Advisor June 2004 Gary Schneider	Fund Industry Being Forced In Wrong Direction In the aftermath of some of America's biggest scandals in the history of the mutual fund industry, proposed standards are wrongheaded and unnecessary.
The Motley Fool January 13, 2004 Selena Maranjian	The Fund Fee Fracas Are mutual fund fees too high?
Registered Rep. May 18, 2004 John Churchill	The Only Game in Town Survey shows a majority of investors still think mutual funds provide the best opportunity for a diversified portfolio, and many do not think the mutual fund improprieties are widespread across the industry.
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 June 25, 2004 Tim Beyers	Fund Independence Day Yesterday, the Securities and Exchange Commission turned up the heat on the mutual fund industry by requiring that funds maintain a board of trustees that is at least 75% independent from management.
The Motley Fool May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
Registered Rep. November 18, 2003 Will Leitch	Senate Committee Hears Testimony about Fund Industry Each day seems to bring more news from the mutual fund industry. And industry reform is in the air. The climate is such that on Capitol Hill today even the mutual fund industry's lobbying group had to eat some crow.
Financial Planning July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
Registered Rep. June 1, 2005 John Churchill	SEC to Lose Its Head Some say the departure of SEC Chairman William Donaldson, appointed by President George W. Bush to help restore confidence in scandal-ridden markets, can't result in anything positive for the Commission's agenda in the near future.
Entrepreneur August 2004 Julie Monahan	Payback Time Settlement dollars from the SEC crackdown on mutual fund malfeasance will reach millions. But will you get your fair share?
Financial Advisor September 2009 Gail Liberman	How Liquid Are Client Mutual Funds? In a falling market, a fund's securities that appear to be liquid suddenly may have no market.
The Motley Fool October 5, 2004 Selena Maranjian	How Your Funds Are Voting Are your mutual funds doing the right thing? You can find out.
Registered Rep. December 11, 2002 Will Leitch	Bush Appoints DLJ Founder To Run SEC A month since embattled former chairman Harvey Pitt resigned, President Bush announced plans to nominate William Donaldson, founder of investment bank Donaldson Lufkin & Jenrette to head the Securities and Exchange Commission.
Wall Street & Technology June 4, 2004 Jessica Pallay	Fund Fixes Mutual funds are taking action to prepare for potential regulations on market timing, but there aren't any easy answers.
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.
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
The Motley Fool March 28, 2005 Selena Maranjian	Conflicted Mutual Funds There are conflicts of interest afoot in mutual funds. The bottom line if you're interested in seeing shareholder proposals pass at companies in which you've invested is to check out the proxy-voting policies at the funds that own big chunks of the companies.
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 April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
The Motley Fool February 4, 2004 Selena Maranjian	Mutual Funds and 12b-1 Fees Are you paying counterproductive fees?
BusinessWeek February 28, 2005 Amy Borrus	Donaldson's Balancing Act The SEC chairman plans further reforms -- mixed with business-friendly flexibility.
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.
U.S. Banker December 2004 Lee Conrad	Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials.
Registered Rep. August 8, 2005 Stan Luxenberg	CIBC and the Murky Waters of Mutual Fund Enforcement When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the saga has begun to appear murkier.
CIO July 1, 2004 Elana Varon	Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain.
The Motley Fool October 15, 2010 Bill Barker	Why We Oppose 12b-1 Fees This little sales charge doesn't benefit existing shareholders, is insufficiently transparent, and the SEC has a new proposal to limit that fee.
Financial Planning April 1, 2005	News Digest SEC Investment Chief Heads to Exit... Compliance: Fund Boards Gain Control over Timing Curbs... Companies: American Funds Charged for Kickbacks... Fidelity Boosts Fund Sales... etc.
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.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
The Motley Fool September 6, 2006 Dan Caplinger	Fend Off Fund Fees Here are tips on how to avoid unnecessary mutual fund fees and keep the money for yourself.
Investment Advisor April 2008 Melanie Waddell	12b-1 Headed for an Overhaul After nearly a year of silence, the SEC has decided to revamp 12b-1.
Registered Rep. December 1, 2004 David A. Gaffen	Quietly Active The annual Securities Industry Association conference exuded an odd serenity, at least until the speakers invoked the name of Eliot Spitzer.
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?
Registered Rep. May 21, 2004 Will Leitch	Roye Blasts Revenue Sharing at ICI Conference; Strong Settles The SEC's director of its investment management division delivered perhaps his strongest remarks yet on mutual fund malfeasance.
The Motley Fool October 18, 2010 Dan Caplinger	It's Time to Take Back Your $10 Billion Whether you think 12b-1 fees are bilking investors or a fair way to compensate financial professionals, the SEC needs your opinion.
Registered Rep. July 30, 2003 Will Leitch	SIA Says "Me Too" on Sales Fee Investigations Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force.