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Registered Rep. April 23, 2007 Kevin Burke	At Last: Pilgrim Baxter Shareholders To Get `Market-Timing' Restitution The move is the first in a series of three disbursements from the Fair Fund coffers that will pay out $267 million to over 384,000 affected PBHG Funds shareholders.
Registered Rep. August 14, 2007 Kevin Burke	"Injured" Banc One Fund Shareholders Finally Get Their Checks The SEC said that roughly $55.6 million in so-called "fair funds" have been distributed to more than 200,000 investors who were bilked by fraudulent market timing activity in certain Banc One's mutual funds.
Registered Rep. December 1, 2006 Stan Luxenberg	Payback Time Still As punishment for the market-timing scandals, the SEC and other enforcers collected fines from 20 fund companies. Four fund companies have filed plans with the SEC to distribute the cash to shareholders. But so far the money sits waiting until the plans are approved.
Registered Rep. January 13, 2006 Halah Touryalai	SEC Displays Enforcement Commitment in Leveling Record Penalty Daniel Calugar, a former Las Vegas stock trader, settled with the SEC regarding charges involving market timing and late trading of mutual funds. The settlement will require him to pay a record $153 million in penalties.
The Motley Fool May 27, 2004 Bill Mann	Dick Strong: How Sorry Are You? With Wells Fargo buying his company, Strong can now pay a big SEC fine out of his lint drawer.
Registered Rep. April 1, 2006 Stan Luxenberg	To Define a Theft For all the uncertainties, the SEC continues battling the mutual fund market-timing problem. After the scandal broke, the regulator promised tough moves to stop the questionable trading. But so far, the pace of change has been slow.
Investment Advisor November 17, 2010 Thomas D. Giachetti	Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors
BusinessWeek January 12, 2004	The Mutual-Fund Scandals Leaving the little guy in the dark made for some nice payoffs, but the comeuppance stands to be even heftier as funds face legal actions.
Registered Rep. August 20, 2008	Putnam, Janus Pay For Market Timing Scandal--But Did Anyone Really Lose Any Money? What impact did the market-timing scandal have on the fund industry?
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 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.
Investment Advisor April 1, 2011 Thomas D. Giachetti	Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready?
The Motley Fool April 17, 2009 Robert Steyer	The Steady BAX Beat Baxter International's diverse medical offerings continue to produce prosperity.
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.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
Registered Rep. September 23, 2008	SEC Charges Miami Broker Gary Gross Gary Gross has been charged with fraud by the SEC for selling his elderly clients unsuitable investments.
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.
BusinessWeek November 10, 2003 Dwyer & Borrus	The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules.
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
Investment Advisor August 2010 Melanie Waddell	Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes."
Financial Planning May 1, 2012 Mike Byrnes	SEC, Un-liked Regulators should acknowledge that there's been a revolution, then take a fresh look at industry regulations and make appropriate revisions. Like it or not, the SEC should catch up with the times and reverse its stance on likes.
The Motley Fool July 6, 2004 Tom Taulli	Grim Reaper Visits EasyLink By all appearances, EasyLink is being hit for a minor offense. Not according to the SEC.
Registered Rep. April 1, 2005 Stan Luxenberg	A Benign Disaster? An academic, hired by Putnam to calculate losses attributable to market-timing and excessive trading, reckons the number is $4.4 million, not the $110 million Putnam agreed to pay the SEC and Massachusetts regulators.. And that includes interest.
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.
BusinessWeek September 27, 2004	"You Cannot Legislate Honesty" Fund manager Robert Olstein, in a candid interview, says the SEC regulators have overstepped the mark.
The Motley Fool March 4, 2004 Tim Beyers	Staples Gets It The shareholder-friendly company sets an example for others.
The Motley Fool October 13, 2004 Tom Taulli	Nightmare on Sarbanes Street While Sarbanes-Oxley is meant to help shareholders, we are seeing examples of the opposite result. Many small-cap companies have been disproportionately affected by the surging compliance costs of the act.
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?
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.
Financial Planning August 1, 2009 Ken Fisher	SEC Calling If you haven't violated any securities laws or otherwise abused client trust, you have nothing to fear.
The Motley Fool October 7, 2008 Alyce Lomax	The SEC Has Let Us Down Who's the SEC looking out for again? It's not you or I.
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. 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.
The Motley Fool August 21, 2006 Stephen D. Simpson	Pilgrim's Pride Ruffles Some Feathers After a few refusals, Pilgrim's Pride takes its offer for Gold Kist to the public. Investors, as is often the case with public offers like this, there are more than a few interesting points to consider.
The Motley Fool September 17, 2007 Selena Maranjian	The SEC May Shut You Up If you want to keep the right to influence your companies, let the SEC know. The SEC has recently proposed changing rules for shareholders -- in ways that don't seem to protect them at all.
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.
Registered Rep. July 24, 2007 John Churchill	SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers.
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.
The Motley Fool March 10, 2004 Selena Maranjian	Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem.
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 April 18, 2008 Brian Orelli	Recalls Can't Beat Baxter In spite of charges for two recalls, Baxter posts a decent quarter.
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 July 20, 2007 Brian Orelli	Baxter's Mixed Message A recall of Baxter BioScience's COLLEAGUE infusion pumps seems to have over-shadowed healthy quarterly earnings reports.
The Motley Fool December 15, 2005 W.D. Crotty	SEC May Look at CEO Pay It is encouraging to see some pension fund managers and the SEC taking action on pay for performance among top executives, but shareholder shouldn't get too happy.
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.
Wired February 2002 Adam Lashinsky	The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action...
The Motley Fool May 6, 2008 Alyce Lomax	When Shareholders Speak ... AFLAC Listens The insurance company blazes a trail in letting shareholders have a say on management's pay.
BusinessWeek February 9, 2004	Dynasty In Distress Billionaire Leonard Stern played hardball building his Hartz empire. Now, one son has been nailed in the mutual-fund scandal. The other has blown a major real estate deal. No wonder Dad worries about his legacy.
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.
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.