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The Motley Fool May 12, 2004 Bill Mann	Presto Stays Its Course Small appliance maker National Presto stands alone in an industry defined by lousy economics and blowups.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
The Motley Fool October 8, 2010 Travis Hoium	Fuqi International Shares Popped: What You Need to Know I am wary of any company being investigated by the SEC, so watch that you don't get caught in an avalanche if it finds something.
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?
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.
Registered Rep. March 15, 2012 Kristen French	Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Wired February 2002 Adam Lashinsky	The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action...
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.
On Wall Street July 1, 2009 Mark Astarita	The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work.
Investment Advisor January 2010 Melanie Waddell	SEC Proposes Two-Year Stay on Rule 151A The Securities and Exchange Commission agrees to a two-year delay of the effective date of Rule 151A, which would require that equity indexed annuities be regulated as securities.
InternetNews May 17, 2004 Colin C. Haley	Lucent Settles SEC Complaint The company looks to eliminate distractions in an improving climate for network equipment.
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.
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.
Registered Rep. October 23, 2007 David A. Geracioti	If Allegations Prove True, File This Under: Stupid Broker The SEC has filed a complaint against a former LPL rep and branch manager, who, the SEC says, had been engaging in one of the oldest broker tricks in the book: stealing his clients money.
Investment Advisor August 2006 Melanie Waddell	The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down.
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, 2011 Sarah Johnson	Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules.
Registered Rep. March 14, 2012 Diana Britton	SEC Goes After Venture Capital B/D Over Sale of Facebook Shares The Securities and Exchange Commission has filed charges against New York-based venture capital broker/dealer Felix Investments and the firm's founder Frank Mazzola.
CFO June 1, 2008 Alan Rappeport	Suddenly, It's Here The SEC votes unanimously to soon require companies to file data-tagged financial statements. The move seems certain to breathe new life into XBRL (extensible business reporting language), the data-tagging scheme for financial reports.
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.
The Motley Fool March 10, 2004 Selena Maranjian	Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem.
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.
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.
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.
Registered Rep. June 29, 2010 Halah Touryalai	The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level.
Registered Rep. February 11, 2004 John Churchill	Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators.
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.
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.
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, 2006 Roy Mark	SEC Brings Proxies Online Shareholders will soon be able to find proxy statements and annual reports online, according to new voluntary rules approved this week by the Securities and Exchange Commission.
Knowledge@Wharton September 10, 2003	Do High Regulatory Costs Force Public Firms to Go Private? Steps aimed at increasing the financial transparency of U.S. companies could backfire if companies respond by going private instead. In these post-Enron, post-WorldCom times, that would deal a body blow to confidence in capital markets.
Investment Advisor August 2010 Melanie Waddell	Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.
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.
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?
The Motley Fool June 24, 2005 Tim Beyers	Your Own Personal Deep Throat Do you know all there is to know about the stocks you own? The government does. You can, too. EDGAR (Electronic Data Gathering Analysis and Retrieval) is an investor's best friend.
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.
Investment Advisor March 2009 Melanie Waddell	When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators.
Registered Rep. March 27, 2006 Kristen French	SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
Registered Rep. April 29, 2005 John Churchill	FPA Sues to Stop Broker-Dealer Exemption The Financial Planning Association believes that the SEC rule which allows registered reps to call themselves financial advisors is contrary to law and encourages broker-dealers to engage in self-dealing with their clients without disclosing their conflicts of interest.
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.
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.
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.
Financial Planning March 1, 2007 Lynn Hume	The Bond Buyer SEC Votes on Rules for Rating Agencies: The proposed rules would implement provisions of the Credit Rating Agency Reform Act of 2006, which Congress approved and President Bush signed to foster increased competition, transparency and accountability among rating agencies.
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?
The Motley Fool May 9, 2011 Anand Chokkavelu	Rising Star Buy: National Presto National Presto, appliance and ammunition maker, pays out a small, regular dividend each year, equating to a 0.9% dividend yield at today's prices. But counting its special dividend, that yield jumps to 7.4%.
Registered Rep. December 16, 2005 Halah Touryalai	Former Pru Broker Penalized for Abusive Trading Three years after the SEC charged five Boston-based Prudential Securities brokers for abusive mutual fund trading, one of the accused is being temporarily barred from association with any broker/dealer or investment advisor.
The Motley Fool December 7, 2005 Rich Duprey	Inside the SEC Filing Maze Need help digging out information before you invest? Let us give you a hand. Here's a map to some of the best sites to help you navigate the maze.
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.