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The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem.   |
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. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
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. |
The Motley Fool
April 26, 2006
Rich Duprey |
Investing in Presto's Dim Future The small-appliance maker may soon find itself in hot water with the SEC. Investors, take note. |
The Motley Fool
March 31, 2011
Matt Koppenheffer |
Trust Penny Stock Picks at Your Own Peril Many penny stock newsletters aren't what they seem, and following their advice could be very costly. |
The Motley Fool
December 3, 2004
Rich Duprey |
A Day Late and Many Dollars Short The SEC finally cracks down on companies that fail to file timely reports. |
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. |
The Motley Fool
March 7, 2006
Tim Beyers |
Get Your Special K You should pay attention when a company you own files its 10-K. These reports offer key data to help you build a richer portfolio. |
CFO
May 1, 2010
Sarah Johnson |
The SEC Has a Few Questions for You This is the envelope no CFO looks forward to opening, even if the inquiry proves to be fairly routine. |
Wall Street & Technology
February 27, 2005
Beth Bacheldor |
A Watchdog to Watch In his first CIO job, Corey Booth, just 34 years old, is leading the IT department of one of the country's most closely watched and influential government agencies: the Securities and Exchange Commission. |
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. |
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. |
The Motley Fool
June 16, 2006
Selena Maranjian |
Plasticon, an Amazing Penny Stock The key for investors is to find the most promising small companies -- which are usually not penny stocks. |
The Motley Fool
June 24, 2005
Tim Beyers |
Your Own Personal Deep Throat Do you know all there is to know about the stocks you own? The government does. You can, too. EDGAR (Electronic Data Gathering Analysis and Retrieval) is an investor's best friend. |
The Motley Fool
December 7, 2005
Rich Duprey |
Inside the SEC Filing Maze Need help digging out information before you invest? Let us give you a hand. Here's a map to some of the best sites to help you navigate the maze. |
The Motley Fool
July 27, 2006
Tim Hanson |
Why We Love Wild Penny Stocks Penny stocks have huge potential -- that's their blessing and their curse. |
Investment Advisor
February 2010 |
Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009. |
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. |
Registered Rep.
March 27, 2006
Kristen French |
SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations. |
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 |
Registered Rep.
July 12, 2011
Charles Paikert |
Family Office Quandary May Benefit Wealth Managers For single-family offices, a recent Securities and Exchange Commission ruling marked the beginning of an identity crisis writ large -- one that will reshape the family office business and may ultimately benefit wealth and asset managers. |
BusinessWeek
March 21, 2005
Amy Borrus |
Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters. |
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? |
Financial Advisor
October 2004
Evan Simonoff |
Editor's Note Back in July when the Financial Planning Association filed a lawsuit against the Securities and Exchange Commission, many advisors could be forgiven for wondering if the FPA was losing its grip on reality. |
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. |
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? |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
The Motley Fool
April 12, 2005 |
Researching Companies Online You can find out a heck of a lot about a company online. Don't neglect to visit a company's own website, where you'll often find a host of information on its history, products and services, and stock. |
Investment Advisor
September 2010
Melanie Waddell |
Washington Watch: Industry Heeds SEC's Call for Comments SEC flooded with comments on fiduciary standard; 'fiduciary forum' on September 24. |
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. |
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. |
The Motley Fool
April 19, 2010
Rich Smith |
Is Google's Latest Move Evil? Or is the company an evil genius? |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
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." |
Investment Advisor
September 2008
Melanie Waddell |
SEC, DOL to Share Data The SEC and Department of Labor agree to share information on retirement and investments in an effort to protect the $5.8 trillion in retirement assets of American workers. |
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
April 14, 2011
Travis Hoium |
California Makes a Splash in Solar California is taking concrete steps to become solar's next big demand source. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
The Motley Fool
June 30, 2005
Tom Taulli |
IPOs Quiet No More The SEC can agree on some things, such as allowing companies to say more during an offering. So, how does this help investors? |
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 |
The Motley Fool
November 30, 2011
Dan Caplinger |
Has First Solar Become the Perfect Stock? Although the company's valuation has gotten a lot more attractive, slowing growth and falling returns on equity have taken their toll on First Solar's score. |
Information Today
October 16, 2006
Marydee Ojala |
The SEC's Plans to Reinvent EDGAR In its ongoing quest to modernize its EDGAR system, the SEC has awarded three contracts worth a total of $54 million to upgrade the system into a dynamic real-time search tool with interactive capabilities. |
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. |
BusinessWeek
September 26, 2005
Amy Borrus |
The SEC: Cracking Down On Spin The Securities & Exchange Commission is going after executives for skimpy or misleading disclosures in annual reports. |
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. |
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. |
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
May 17, 2004
Colin C. Haley |
Lucent Settles SEC Complaint The company looks to eliminate distractions in an improving climate for network equipment. |
