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InternetNews November 6, 2009	Digging Into N.Y.'s Antitrust Suit Against Intel Why is New York Attorney General Andrew Cuomo suing Intel?
The Motley Fool August 20, 2009 Tim Beyers	Should Your Broker Pay for Your Losses? When New York Attorney General Andrew Cuomo on Monday sued Charles Schwab for allegedly misrepresenting the risks inherent with auction-rate securities, he sent a message: Take care to warn investors early and often, or suffer the consequences. Is this a good idea?
Registered Rep. August 7, 2008 John Churchill	Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008.
Registered Rep. March 19, 2009 John Churchill	Yet Another Fraud; AIG, Merrill Bonuses Going Going G...; Lehman Brothers Killed by Shorts? SEC charges two former political figures in fraudulent "kick back" scheme... New York Attorney General says he will release the names of the Merrill Lynch bonus recipients... Lehman's downfall...
Registered Rep. February 4, 2010 Halah Touryalai	NY AG Names Names -- Charges Ken Lewis With Fraud The New York Attorney General's office today charged Bank of America CEO Ken Lewis with fraud for failing to disclose material details about Merrill Lynch in its merger with the brokerage.
CFO January 30, 2004 Tim Reason	Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds.
BusinessWeek May 20, 2010 Jesse Westbrook & David Scheer	How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine
The Motley Fool November 4, 2009 Anders Bylund	Intel Is Under Legal Fire Again. Should You Care? The fallout and collateral damage is more interesting to me than the lawsuit itself.
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?
BusinessWeek April 29, 2010 Barrett & Schmidt	In Goldman's Defiance, a Hint of Truce Goldman Sachs and the SEC have equally high stakes.
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. April 26, 2005 Kristen French	A Pawn Takes the Queen Charles Elliott scores one for the "little guy," and proves that sometimes it pays for a broker to take on securities regulators, despite their financial and legal heft.
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?
InternetNews September 21, 2007 David Needle	Steve Jobs to Testify in Backdating Case Apple CEO Steve Jobs has reportedly been subpoenaed by the Securities and Exchange Commission to testify in a stock-options back-dating case against Apple's former general counsel, Nancy Heinen.
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.
CFO April 1, 2005 Tim Reason	The Limits of Mercy The cost of cooperating with the SEC is high. The cost of not cooperating is even higher. Faced with financial penalties, career-ending bans, and possible criminal prosecution, more individuals are choosing to fight the SEC.
Investment Advisor May 1, 2011 Melanie Waddell, AdvisorOne	Fair Play: The Fight Over Rule 206(4)-5 Advisors are confused -- and angry -- over the SEC's new pay-to-play rule
Registered Rep. March 15, 2012 Kristen French	Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup.
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?
Investment Advisor September 2009 Melanie Waddell	SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme.
BusinessWeek December 27, 2004 Emily Thornton	Hedge Funds Find An Escape Hatch The loophole: Locked-up funds don't require oversight. That means more risk for investors.
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. 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.
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?
Financial Planning July 1, 2008 Jane Worthington	Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination.
National Defense November 2011 Piazza & Ayers	Regulators Flex Foreign Corrupt Practices Act Enforcement Muscles Continuing a trend that started late in the last decade, the Securities and Exchange Commission this year continues to raise the bar on the enforcement of the Foreign Corrupt Practices Act of 1977.
InternetNews January 10, 2008	New York Starts Antitrust Probe Into Intel The office of New York Attorney General Andrew Cuomo said it launched a formal investigation into Intel Corp to determine whether the world's biggest chipmaker violated state and U.S. antitrust laws to squeeze out its rival, Applied Micro Devices.
The Motley Fool February 14, 2008 Rich Smith	Great Spitzer's Ghost! New York State Attorney General Andrew Cuomo promises to sue UnitedHealth as part of a wide-ranging investigation into alleged collusion and fraud pervading the health insurance industry.
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.
Registered Rep. March 1, 2006 Barry Rehfeld	Another Tough Top Cop? When President Bush tapped Christopher Cox to replace William Donaldson, it looked like Bush was swapping an aggressive reformer for a kinder, gentler regulator. Yet since he took over as SEC chairman, Cox has shown that he is not the anti-Donaldson.
IndustryWeek December 1, 2007 Jill Jusko	Trying Times for IP Protection Intellectual property disputes appear on the upswing as other litigation declines.
InternetNews January 30, 2007 Ed Sutherland	Travel Companies, Cingular Settle Adware Case Three online advertisers have to pony up $100,000 and promise to stop using controversial adware as part of a settlement with New York State's Attorney General.
The Motley Fool May 17, 2010 Matt Koppenheffer	Defending Wall Street The criminal investigations that are being launched against Wall Street firms are woefully misdirected.
Registered Rep. December 5, 2007 Halah Touryalai	Spitzer Returns! New York A.G. Probes Wall Street On Mortgage-Backed Securities The punches keep on coming for some of Wall Street's biggest firms, as a handful of firms were sent subpoenas late this summer courtesy of New York State Attorney General.
BusinessWeek June 3, 2010 Jesse Westbrook	The SEC's BlackBerry Compromise The agency will give employees BlackBerrys -- but won't demand that they keep them on weekends or after hours
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?
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.
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.
InternetNews February 22, 2007 Clint Boulton	Veritas Dinged For $30M Veritas Software will fork over cash to investors harmed in fraudulent financial schemes.
U.S. Banker September 2007 Lee Conrad	Oversight: Hedge Fund Transparency At Issue...Again The Securities & Exchange Commission is attempting to shine a spotlight on the most opaque of investments-hedge funds-by creating a working group in its enforcement division to combat insider trading.
Registered Rep. February 4, 2009	SEC, FINRA, Hit Hard By Markopolos Testimony The famously ignored Madoff whistleblower testified before the House Financial Services Committee that the SEC is "incompetent," among other things -- and had even harsher words for FINRA.
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.
Investment Advisor June 1, 2011 Thomas D. Giachetti	From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.
Registered Rep. September 10, 2008	Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities.
CFO October 1, 2003 Craig Schneider	The Attorney's Dilemma Will the SEC's new and proposed rules to turn lawyers into whistle-blowers strain relations between finance executives and corporate counsel?
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?
Registered Rep. April 1, 2008 Halah Touryalai	Clients in Your Pockets Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment to privacy policy rules, also known as Regulation S-P, is approved.
BusinessWeek July 28, 2003 Borrus & McNamee	States vs. the SEC: What's All the Shouting for? On the surface, it looks like the fragile alliance between state and federal securities cops is crumbling. There's more -- and less -- going on here than meets the eye.
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."
The Motley Fool November 14, 2011 John Reeves	Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case.