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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 February 1, 2011 Kate O'Sullivan	The Faces Are New, but the Agenda Is Not Just in time for The Dodd-Frank Wall Street Reform and Consumer Protection Act, CFOs have some new names to learn as two major regulators welcome fresh leadership.
Reason April 2007 Brian Doherty	Sarb-Ox Showdown A pro-market research institute and a small accounting firm are taking Sarbanes-Oxley to court and claim in their suit that the Public Company Accounting Oversight Board violates the Constitution in several ways.
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.
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?
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.
BusinessWeek September 16, 2010 Robert Schmidt & Hans Nichols	Appointing a Firebrand Without a Senate Fight Rather than nominate Elizabeth Warren to head the newly created Consumer Financial Protection Bureau, the White House plans to install her at the Treasury Dept., with the interim assignment of overseeing the establishment of the agency. Obama aides hope this will avoid a confirmation battle with Senate Republicans.
CFO June 1, 2008 Sarah Johnson	The PCAOB Turns 5.099 We're inspired by the Public Company Accounting Oversight Board's birthday to review its short history -- by the numbers.
CFO September 1, 2006 Alix Nyberg Stuart	Standing on Principles In a world with more regulation than ever, can the accounting rulebook be thrown away?
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 October 1, 2007	The Battle for Influence Letter to the editor: The SEC Rules... Far from Settled... Still Hitting the Ceiling... etc.
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.
CFO December 1, 2004	On the Defense Full disclosure of DoD difficulties ''an important contribution to our national security'... ' PCAOB chairman William McDonough is doing the right things for investors, the markets, and the economy.... etc.
Wired February 2002 Adam Lashinsky	The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action...
BusinessWeek December 13, 2004 David Henry	Where's That Quarterly Report? Companies, striving to clean up their books, are filing late -- and seeing shares fall.
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.
BusinessWeek September 22, 2003 Paula Dwyer	A Talk with William McDonough The new accounting oversight board's chairman says the profession should see the PCAOB (Public Company Accounting Oversight Board) as "its mentor-cum-ally."
Financial Planning December 1, 2010 Donna Mitchell	Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers.
CFO December 1, 2009 Johnson & Stuart	Sarbox R.I.P.? There is slowly growing evidence that the seven-year-old law's existence may not be etched in stone.
IndustryWeek March 1, 2002 John S. McClenahen	Goodbye To GAAP? Probably not. But Enron's collapse makes changes in financial regulation likely...
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
Registered Rep. September 2, 2009 John Churchill	SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible.
CFO March 1, 2012 Sarah Johnson	Could Its IFRS Delay Strip the SEC of Power? International standards group gently prods the SEC to step up its involvement.
CFO February 1, 2003 Abe de Ramos	Standards Bearer The chairman of the IASC, Paul Volcker, shares some caustic comments on stock options, corporate boards, and the relative merits of GAAP.
Financial Advisor October 2012	Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground.
CFO October 1, 2008 Marie Leone	Convergence Divergence Critics question the entire rationale for adopting international financial reporting standards.
BusinessWeek July 29, 2010 Jesse Westbrook	Whistleblowers Get a Raise The SEC will offer up to 30 percent of the money from fines to reward tipsters.
BusinessWeek September 22, 2003 Nanette Byrnes	Reform: Who's Making the Grade A performance review for CEOs, boards, analysts, and others
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 May 14, 2009 Maria Bartiromo	SEC Chief Mary Schapiro: The Watchdog's New Teeth A discussion with with the new SEC Chief Mary Schapiro.
Investment Advisor April 2009 Melanie Waddell	All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm
BusinessWeek November 19, 2009 Theo Francis	These Men Could Kill SarbOx Two tenacious Washington lawyers have the Sarbanes-Oxley Act in their sights -- and they just might take it down
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.
InternetNews April 18, 2005 Roy Mark	Senator Backs Tech on Stock Options Legislator feels stock options shouldn't be expensed at all.
Knowledge@Wharton	You Say IASB, I Say FASB, You Say... A description of efforts to harmonize U.S. and international accounting standards, and shifts in the accounting profession caused by recent scandals.
Investment Advisor May 2009 Melanie Waddell	Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.
Knowledge@Wharton	Do High Consulting Fees Compromise the Independence of CPA Firms? Key components of the audit process---the independence and objectivity of auditors---may be eroding, according to some industry observers.
Investment Advisor August 2009 Melanie Waddell	Danger & Opportunity: Consumers Take Center Stage of Reform Debate Financial services reform continues to unfold, with two pieces of legislation being sent to Capitol Hill in July aimed at protecting investors.
BusinessWeek January 10, 2005 Nanette Byrnes	Green Eyeshades Never Looked So Sexy Raises, perks, long sabbaticals -- auditors can write their own ticket these days.
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.
BusinessWeek December 30, 2009 Jesse Westbrook	Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure.
CFO September 1, 2010 Sarah Johnson	SEC Pushes Companies for More Risk Info The regulator pushes back on companies' risk disclosures and considers changing its related rules.
Investment Advisor June 1, 2011 Melanie Waddell	Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform.
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.
Registered Rep. January 19, 2011 Kristen French	In Dodd-Frank Report, SEC Champions User Fees Over SRO The study and report were meant to address a trifecta of problems: a history of weak oversight of investment advisers, current shortfalls in SEC funding and the regulator's rapidly expanding responsibilities under Dodd-Frank.
Registered Rep. April 28, 2010 Bill Singer	The SEC's Own Report Says that It Missed Tips and Clues in a Giant Ponzi Some have alleged improper political motives in the Stanford case, which the SEC has denied.
CFO October 1, 2007 Michelle Leder	Rewriting the Rules Everything you thought you knew about accounting is about to change. Is there any reason to smile? This is the third of a three-part series examining the state of accounting five years after passage of the Sarbanes-Oxley Act.
Investment Advisor May 2010 Melanie Waddell	30 for 30 Interviews: Harry Markopolos Independent financial fraud investigator Harry Markopolos identifies strengths and weakness of the SEC.
BusinessWeek September 3, 2007 Nanette Byrnes	The Comeback Of Consulting It's once more a huge business for Big Four auditors like Deloitte & Touche, thanks partly to Sarbanes-Oxley rules.
Investment Advisor August 2009 Melanie Waddell	Congress Presses Schapiro to Protect Investors While members of Congress praised SEC Chairman Schapiro for acting quickly to institute changes at the agency, lawmakers said more work needs to be done to protect investors.