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The Motley Fool
June 30, 2004
Rich Smith |
Siebel Spills Secrets Inaugural Regulation Fair Disclosure (Reg FD) violator Siebel Systems, provider of customer relationship management (CRM) software, is in trouble with the SEC yet again.   |
The Motley Fool
November 1, 2005 |
Selective Disclosure, Explained The SEC instituted a "Fair Disclosure" rule that prohibited public companies from alerting analysts and major investors to important changes before disclosing that information to the general public. So what has happened since the rule went into effect? |
The Motley Fool
November 16, 2009
Jim Mueller |
The Daily Walk of Shame: Energizer and Fair Disclosure According to a Reuters report, Energizer Holdings held a conference call with a select group of sell-side analysts after reporting earnings, giving them information not released to the general public. |
Real Estate Portfolio
Jan/Feb 2001
Anna Chason |
Regulation Fair Disclosure: Walking the High Wire Investor relations have been described as a fencing match conducted on a tightrope. In providing information to investors and analysts, corporate officers must carefully negotiate the "high wire" and provide full information while avoiding "selective disclosures"... |
The Motley Fool
December 29, 2005
Gardner & Hanson |
New Year's 2016: The Future Is Now A decade ago, individual investors were just beginning to find their chops. Ten years from now, they'll be some of the shrewdest people on Wall Street. Here's how to make sure you are one of them. |
Registered Rep.
April 6, 2005
John Churchill |
SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption. |
CFO
December 1, 2003
Lori Calabro |
Watch Your Mouth As Reg FD -- Full Disclosure -- enters its fourth year, enforcements so far offer hints on how to communicate. |
Salon.com
September 25, 2002
Farhad Manjoo |
Investors of the world, unite! Former chairman of the SEC Arthur Levitt declares the time is ripe for fighting back against Wall Street. |
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. |
The Motley Fool
February 27, 2007
David Lee Smith |
Confessions of a Wall Street Analyst Peer inside the strange, mixed-up world of securities analysis. |
The Motley Fool
October 15, 2008
Bill Mann |
Educate. Amuse. Enrich. Much has changed in the 15 years since Motley Fool began giving advice to investors. |
eCFO
April 2001
Randy Myers |
Put Up or Shut Up To comply with Regulation FD, corporate officers are starting to post company news on the Web. But Reg FD has so spooked some corporate officers that they've shied away from practically any informal contact with analysts... |
Bank Systems & Technology
June 17, 2009
Maria Bruno-Britz |
Levitt Applauds Regulatory Reforms, but Says Accounting Standards Ignored Former SEC chairman Arthur Levitt says the Obama plan for regulatory overhaul achieves good balance, but still must address other problems. |
HBS Working Knowledge
January 16, 2012
Carmen Nobel |
Private Meetings Thwart Fair Disclosure Rules Despite a federal regulation prohibiting selective information disclosure among public companies and their favorite investors, executives at public firms still spend a great deal of time in private powwows with hedge fund managers. |
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. |
The Motley Fool
June 3, 2008
Rich Duprey |
A Real-Time Non-Event Free real-time stock quotes aren't quite the game-changer they once were. |
Registered Rep.
January 1, 2006
Dan Reingold |
The Insiders' Game This author and Wall Street analyst concludes in his new book, Confessions of a Wall Street Analyst, that we'll never get a clear read on exactly where some insiders went wrong and whether our securities laws, regulations and sanctions are sufficient to deter such behavior in the future. |
The Motley Fool
March 24, 2009
Smith & Bleeker |
Who's More to Blame: Congress or the SEC? March Stock Madness -- Second Round: Let's bullet-point some of the failures of both Congress and the SEC to determine which is more to blame for the current crisis. |
The Motley Fool
April 21, 2010 |
The Motley Fool's Testimony on Corporate Governance and Shareholder Empowerment Shareholders should have a bigger say in how companies are run. |
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. |
The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
Registered Rep.
November 1, 2006
John Churchill |
Insider Trading Up in 2006 NYSE Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006. |
The Motley Fool
December 24, 2008
Rich Smith |
Not Cool, Ceradyne Shares take a beating, along with management's credibility. |
The Motley Fool
January 21, 2009
Tim Beyers |
Will Steve Jobs Get the Madoff Treatment? Bloomberg reports that the SEC is investigating whether investors were misled by Jobs' health disclosures. |
The Motley Fool
September 27, 2004
Dayana Yochim |
What Your Lender's Not Telling You It turns out that you and your banker are not on the same page. The FICO score for sale to the public is not exactly the same one that lenders use to conduct their business. |
CFO
February 1, 2003
David Campbell |
Cozying Up to Analysts Many companies that turn to "fireside chats"' also risk running afoul of Reg FD. |
Pharmaceutical Executive
October 1, 2014
Ogden & Holtman |
Open-Source Option Against Capital Crunch Is crowdfunding an attractive alternative to finance pharma and biotech start-ups? |
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. |
Information Today
August 18, 2008
Marydee Ojala |
The End of the Corporate News Release? On July 30, 2008, the SEC (U.S. Securities & Exchange Commission) staff recommended that the commission issue an interpretative release to provide additional guidance to companies wishing to use their websites as vehicles to provide information to investors. |
Registered Rep.
December 1, 2005
Andrew Osterland |
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes. |
Investment Advisor
May 1, 2011
Bob Clark |
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times. |
Financial Advisor
May 2005
Evan Simonoff |
Editor's Note Ohio Republican Michael Oxley addresses the issue of exemption from RIA regulation that the SEC just granted brokers and specifically the Financial Planning Association's lawsuit. |
The Motley Fool
January 10, 2007
Rich Smith |
Why Does Wall Street Stink? Wall Street stinks. And how could it be otherwise? In illustration, here are a few topics that have been discussed over the past few years: What's yours is ours... What's ours is cheaper than yours... Gimme what's yours... etc. |
Financial Advisor
November 2005
Tracey Longo |
The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule. |
Registered Rep.
December 16, 2008
Bill Singer |
Have Arthur Levitt's Words Come Back to Haunt Him? On the heels of the recent lurid discoveries about Bernard Madoff's multi-billion-dollar fraud, former SEC Chair Arthur Levitt is quoted in the article as saying: "At this point, I don't see any evidence that the SEC dropped the ball." |
Investment Advisor
March 2010
Robert F. Keane |
SEC Issues Guidance on Climate Change Disclosure The SEC has decided to provide public companies with interpretive guidance on existing SEC disclosure requirements as they apply to business or legal developments relating to the issue of climate change. |
On Wall Street
May 1, 2013
Alan J. Foxman |
When It's Okay to Share Clients Our legal expert discusses things to consider before making a referral to a nonaffiliated third party. |
The Motley Fool
February 9, 2007
Dan Caplinger |
Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark. |
Registered Rep.
October 8, 2004
John Churchill |
Are Reps Advisors or Mere Brokers? The CFA sent a comment letter to SEC Chairman Donaldson, suggesting the nature of the services, not the compensation model, is what is important. And the current exemption misses this point. |
Registered Rep.
April 8, 2005
John Churchill |
`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on. |
| Knowledge@Wharton |
From Consolidation to Regulation FD: Financial Services Face a Major Upheaval Consolidation. Regulation FD. Conflicts of interest. Global competition. In discussing the state of the financial services industry, it's hard not to reference the events of Sept. 11. Yet even before that day, the industry was facing significant change on a number of fronts... |
BusinessWeek
July 17, 2006
Mara Der Hovanesian |
The SEC Isn't Finished With Hedge Funds The SEC is closing in on shady practices despite a setback from a federal court. |
Registered Rep.
December 1, 2002
David A. Geracioti |
Arthur Levitt Gives Up the Goods In his new book, the former SEC chairman writes, "Brokers may seem like clever financial experts, but they are first and foremost salespeople." This book by the longest-serving SEC head ever is a kick in the teeth to brokers, Wall Street, corporate executives -- even former colleagues. |
| Knowledge@Wharton |
The Merrill Lynch Settlement: Good for Merrill, Not for Investors Many say the Merrill settlement does not resolve investors' fundamental concern: the inherent conflict produced by analysts' multiple dual role of serving investors and Merrill's investment banking business. |
Financial Advisor
November 2011
Evan Simonoff |
What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation. |
CFO
March 15, 2006
Julia Homer |
Going Public Perhaps nothing symbolizes the complete emergence of the CFO as a public figure more than the SEC's decision to require disclosure of CFO compensation in proxy statements. |
The Motley Fool
June 30, 2009
Tim Beyers |
Why I Won't Be Selling Apple The end doesn't justify the means, but it also doesn't justify a sale. |
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. |
Investment Advisor
June 2007
Melanie Waddell |
SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940. |
CFO
March 1, 2010
Sarah Johnson |
Nonplussed by Non-GAAP CFOs are dismayed and discouraged by the SEC's approach to non-GAAP reporting. |
