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CFO
January 10, 2007 |
In Whose Best Interest? How Accounting Firms Would Change Their Industry... Why Performance Scorecards Still Fail... The Uninspired American Employee... M&A and Option Backdating... The CFO as Investor-Relations Professional... etc.   |
CFO
February 1, 2007 |
Reform Effort Rebuked A report on capital-markets regulation stirs criticism... Coping with rising sick days... Replacing an unpopular auditing standard...etc. |
CFO
August 1, 2002 |
TGIM A funny name for the erstwhile PwC Consulting... WorldCom gets caught in a storm... executives are asked to swear; securities suits target nontechs... etc. |
CFO
April 1, 2003 |
From All of Us Middle managers certify their numbers... Auditors make a company fire its sterling CFO... blind trusts for stock options... the SEC levies fines but doesn't collect them... etc. |
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. |
CFO
August 1, 2007
Kate O'Sullivan |
The SEC Rules Five years after Sarbanes-Oxley, the SEC is flexing its regulatory muscle as never before. |
CFO
September 1, 2007 |
Mend the GAAP Simplifying Financial Reporting... Prosecuting CFOs... Finding Board Members... Gaining Proxy Access... Regulating Rating Agencies... etc. |
CFO
October 1, 2002 |
Reform: How the Corporate Landscape Is Changing Everyone from Congress to the journalist next door has a reform proposal to promote. This article assesses the likelihood of passage as well as the potential impact of several proposals. |
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? |
CFO
July 1, 2003
Kris Frieswick |
How Audits Must Change Auditors face more pressure to find fraud. |
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
September 17, 2009
Michael Orey |
Commentary: Do Shareholder Class Actions Make Sense? Not when they extract payments from innocent shareholders and let fraudsters off the hook. |
CFO
April 1, 2004
Ronald Fink |
Playing Favorites Why Alan Greenspan's Fed lets banks off easy on corporate fraud. |
CFO
July 1, 2006 |
Backdaters Get Clocked Market Timers... Under the Runway... Enron: End of an Era... The Longer View... Frequent Filer... Don't Know Much about Liquidity... Attack of the Naked Shorts... Long Live the Local Branch... etc. |
The Motley Fool
March 24, 2005
Karl Thiel |
The Naked Truth on Illegal Shorting Is the illegal practice of naked short selling destroying your investment? |
BusinessWeek
December 27, 2004
Amy Borrus |
Auditors: The Leash Gets Shorter Providing tax services to audit clients will no longer be allowed. |
The Motley Fool
February 2, 2007
Dan Caplinger |
A New Twist on Options Expensing The SEC approves a new method for companies to use. Since this method may result in companies being able to reduce the expense charges they're forced to report, it's certain to be both controversial and popular within corporate America. |
CFO
October 1, 2011
Sarah Johnson |
Making Audits More Audible New rules would require auditors to speak up about possible problems, and describe in more detail what they do and don't look at. |
CFO
May 1, 2004
Lori Calabro |
Looking Under the Hood New attestation standards for internal controls put more power in the hands of auditors. |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
BusinessWeek
September 22, 2003
Der Hovanesian et al. |
How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done. |
CFO
March 1, 2011
Laton McCartney |
Where There's Smoke, There's Fraud Sarbanes-Oxley has done little to curb corporate malfeasance. Therefore, CFOs should implement a range of fraud-prevention measures. |
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. |
Bank Systems & Technology
July 5, 2004
Ivan Schneider |
SEC to Banks: Selling Securities? Get a License Industry convergence slowed by multiple regulators and accounting system limitations. |
CFO
May 1, 2005
Tim Reason |
Feeling the Pain Are the benefits of Sarbanes-Oxley worth the cost? Many companies are voicing their concerns to the SEC. The top complaint about 404 is that auditors must point out management's own assessment of internal controls. |
CFO
September 1, 2005
John Goff |
Fractured Fraternity Oh for the days when auditors were counselors and not pricey overseers. In fact, some CFOs say dealings with external auditors have become a lot like encounters with the Internal Revenue Service: shrill, chilly, and frustrating as hell. |
Investment Advisor
September 2009 |
Broker/Dealer News Actions by the SEC and FINRA |
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? |
The Motley Fool
February 1, 2005
Bill Mann |
I Am NEVER Missing the Overstock Call Never dull, the Overstock.com conference call gave reason for conspiracy theorists everywhere to salivate. You know what? There's something to this thing. |
Financial Planning
November 1, 2009
Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors. |
CFO
March 15, 2006
David M. Katz |
A Tough Act to Follow What CFOs really think about Sarbox -- and how they would fix it. Included are the results of an exclusive survey of finance executives on the topic. |
The Motley Fool
April 21, 2004
Bill Mann |
Attack of the Killer Attorneys It's inevitable in every investor's career that he or she will hold a company that will attract class action lawsuits alleging some form of securities fraud. |
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. |
U.S. Banker
March 2008
Christopher Myers et al. |
SOX Relief for Smaller Banks The SEC and the Public Company Accounting Oversight Board apparently agree that SOX may be too burdensome on small companies, and some relief may be on the horizon. |
The Motley Fool
May 25, 2007
Seth Jayson |
Another Day, Another Departing Director The bottom line is that directors, including Byrne's own father -- the first one to hit the exits -- don't see any reason to stick around at Overstock. Why would investors? |
BusinessWeek
September 30, 2010
Jesse Westbrook |
The Accounting Board Is a Sinecure Qua Non Consumer advocates say the accounting oversight board's record is a cautionary tale for the Consumer Financial Protection Bureau. |
The Motley Fool
March 30, 2005
Karl Thiel |
Who's Behind Naked Shorting? In search of culprits in the practice of illegal short selling of stocks. |
CFO
January 1, 2004
John Goff |
They Might Be Giants It's been nearly two years since Arthur Andersen went under and Sarbanes-Oxley was passed. Have the Big Four audit firms changed since then? |
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. |
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. |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
The Motley Fool
January 31, 2007
Mary Dalrymple |
You Spent $109 Billion on What? Sometimes we don't even learn that our credit cards come with all these traps until we get into a financial bind. How can you minimize or eliminate your share of the $109 billion going to credit card companies for interest payments and fees? |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Financial Planning
July 1, 2005
James A. Barnash |
Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners. |
Entrepreneur
August 2007
Jennifer Pellet |
The Land of the Audit-Free Small businesses are being liberated from SOX restrictions. The changes come at a critical time for companies with less than $75 million in market capitalization, which are to begin complying with the management guidance part of SOX during the 2007 audit cycle. |
BusinessWeek
August 30, 2004
Amy Borrus |
Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line. |
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. |
CFO
August 1, 2004 |
The Enforcer If audit firms don't voluntarily improve their processes, Public Company Accounting Oversight Board (PCAOB) chairman William McDonough promises he'll make them. |
CFO
October 1, 2007 |
The Battle for Influence Letter to the editor: The SEC Rules... Far from Settled... Still Hitting the Ceiling... etc. |
The Motley Fool
February 15, 2007
Seth Jayson |
Quick Take: Overstock 0-for-1 A look at what's going on with Overstock.com. |
