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Investment Advisor August 2006	Changes Kathleen Casey was confirmed by the Senate to replace the departing Cynthia Glassman as an SEC Commissioner... AIG Financial Advisors, Inc. has named Lisa Bredeson as senior VP and COO... etc.
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.
Registered Rep. June 1, 2006	Comings & Goings SEC Commissioner Cynthia Glassman announced her intention to leave the commission... The NASD promoted three executives as part of a larger leadership transition... Stuart Bohart has been named head of alternative investments... etc.
Registered Rep. April 1, 2004 John Churchill	Congress Moving on Mutual Funds Since the mutual fund scandals broke six months ago, Congress has been largely hands-off with regards to reform efforts, but that is changing fast.
CIO June 1, 2002 Daintry Duffy	Suckers.com The SEC believes showing consumers how easily they can be suckered by investment scams on the web is far more effective than warning them with a brochure
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.
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.
Investment Advisor April 1, 2011 Melanie Waddell	SEC Funding in the Budget Fight Crosshairs Commission may be the biggest casualty as lawmakers continue tussle over the federal budget
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.
Investment Advisor July 2009 Melanie Waddell	Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care.
BusinessWeek January 23, 2006 Amy Borrus	The Unlikely Hardnose At The SEC Securities & Exchange Commission Chairman Chris Cox wants all CEO pay revealed.
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 August 2010 Melanie Waddell	Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble
Investment Advisor September 2006 James J. Green	An Education Summit The Certified Financial Planner Board's annual meeting focused on improving financial literacy and financial eduction programs from elementary school on up.
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.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Investment Advisor April 1, 2011	SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard
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.
BusinessWeek December 22, 2003 Amy Borrus	Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors.
The Motley Fool February 23, 2004 Selena Maranjian	Tell the SEC What You Think Help the Securities and Exchange Commission disclose Wall Street's conflicts of interest by giving feedback on their proposed rule changes for mutual funds.
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.
The Motley Fool March 10, 2004 Selena Maranjian	Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem.
Registered Rep. December 2, 2004 John Churchill	SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew?
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.
Registered Rep. March 15, 2010 Kristen French	Dodd Bill Requires Year-Long Study of Fiduciary Issue, SRO Idea, Gives SEC Muscle Banking reform legislation introduced Monday would give the SEC greater enforcement muscle over RIAs, and would require it to conduct a study examining the effectiveness of extending the fiduciary standard to brokers.
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.
Investment Advisor June 2007 Melanie Waddell	SEC Furthers Tool for Investors, While Frank Plans Hearings The SEC is working on an interactive system using the computer language called XBRL that's designed to give investors the tools they need to more easily compare mutual funds.
Registered Rep. June 3, 2009 Halah Touryalai	SEC Gives Investors a Voice. Will It Be Heard? Chances are the Securities and Exchange Commission announcement about its newly created Investor Advisory Committee will get plenty of eye rolls.
Registered Rep. February 17, 2010 Kristen French	Uniform Fiduciary Standard Still A Question Mark The fiduciary issue is not one of the major sticking points in wrangling over legislation; the big issues are banking regulations, systemic risk, credit rating agency reform, derivatives, executive compensation, and the Consumer Protection Agency.
Registered Rep. April 7, 2005 Kristen French	NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.
Investment Advisor March 1, 2011 Melanie Waddell	House, Senate Hearings Next on Fiduciary Industry groups lobby for user fees to fund advisor exams in lieu of an SRO.
The Motley Fool April 18, 2007 Amanda B. Kish	The SEC Gets It Right The agency revisits governance rules and fees for mutual funds.
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.
Registered Rep. February 18, 2004 John Churchill	SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold.
Registered Rep. December 9, 2002 Will Leitch	I'm From the Government. I'm Here to Help You The prevailing mindset at the somewhat sparsely attended Securities Industry Association seminar on corporate governance Thursday was not fear of the Sarbanes-Oxley Act -- but the SEC's interpretation of it
Investment Advisor November 2009 Melanie Waddell	Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition.
Investment Advisor October 2009 Melanie Waddell	SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff.
Investment Advisor August 2006 Joseph & Barreto	Hedgeworld Hedge Fund Focus: Regulatory Limbo for Hedge Funds Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see examiners on their doorstep anytime soon.
BusinessWeek April 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
Investment Advisor April 1, 2011 Melanie Waddell	GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt
Investment Advisor September 2006	Changes Mary Schapiro was scheduled to become chairman and CEO of the NASD... President Bush has nominated former SEC Commissioner Cynthia Glassman as Under Secretary for Economic Affairs... etc.
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.
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.
Wired February 2002 Adam Lashinsky	The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action...
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.
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?
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
CFO December 1, 2011 Alix Stuart	Smoothing the IPO Path A new SEC committee wants to help smaller companies find less costly ways to raise capital.
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.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.