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CFO December 1, 2011 Alix Stuart	Capital Ideas on Capitol Hill Congress rushes to help smaller companies raise funds more easily.
CFO May 1, 2011 Alix Stuart	Is Going Public Going Out of Style? The number of publicly traded companies continues to decline.
On Wall Street July 1, 2009 Mark Astarita	The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work.
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.
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.
National Defense September 2011 McGrath et al.	New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial.
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 8, 2011 Alex Planes	So You Want to Invest in a Start-up? Similar bills in Congress might give ordinary investors a way in.
Investment Advisor April 1, 2011	SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard
U.S. Banker March 2008 Christopher Myers et al.	SOX Relief for Smaller Banks The SEC and the Public Company Accounting Oversight Board apparently agree that SOX may be too burdensome on small companies, and some relief may be on the horizon.
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.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
CFO October 1, 2008 Marie Leone	Convergence Divergence Critics question the entire rationale for adopting international financial reporting standards.
Investment Advisor October 2009 Melanie Waddell	SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff.
Registered Rep. December 2, 2004 John Churchill	SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew?
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.
Registered Rep. December 9, 2002 Will Leitch	I'm From the Government. I'm Here to Help You The prevailing mindset at the somewhat sparsely attended Securities Industry Association seminar on corporate governance Thursday was not fear of the Sarbanes-Oxley Act -- but the SEC's interpretation of it
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.
Investment Advisor June 2010 Melanie Waddell	The Regulators Never Sleep The SEC and the CFTC have formed a joint committee that will address emerging regulatory issues.
CFO February 1, 2005 Ronald Fink	Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital.
U.S. Banker January 2010 Rob Garver	No (More) Quarter...Perhaps The SEC says we've seen the last of the reprieves for small companies that have so far avoided complying with the 404(b) provision in the Sarbanes-Oxley Act. Community bankers best hope now is that Congress will step in and give them a permanent exemption.
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.
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
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.
Investment Advisor March 1, 2011 Melanie Waddell	House, Senate Hearings Next on Fiduciary Industry groups lobby for user fees to fund advisor exams in lieu of an SRO.
CFO July 1, 2007 Scott Leibs	Five Years and Accounting This story is Part 1 in a three-part series on how corporate finance has changed since the Sarbanes-Oxley Act was passed.
Investment Advisor April 1, 2011 Melanie Waddell	SEC Funding in the Budget Fight Crosshairs Commission may be the biggest casualty as lawmakers continue tussle over the federal budget
Investment Advisor January 2006 Melanie Waddell	The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE).
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.
Financial Planning January 1, 2005 Abigail La Croix	5 Questions Michael R. Young, a litigation attorney and partner at New York law firm Wilkie Farr & Gallagher, shares his perspective on financial reporting and the securities industry, with particular emphasis on accounting irregularities.
Investment Advisor June 2010 Jeff Joseph	The Venture Populist: It's Bunk Early-stage businesses should be entirely exempt from the Reg D accredited investor provisions.
CFO October 1, 2002	Reform: How the Corporate Landscape Is Changing Everyone from Congress to the journalist next door has a reform proposal to promote. This article assesses the likelihood of passage as well as the potential impact of several proposals.
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?
Wall Street & Technology August 22, 2005 Maria Wakem	Macgregor Proves Compliance Boston-based Macgregor's latest compliance control and reporting solution, XIP Enterprise Compliance, eases the burden of proving to the SEC that firms have the proper controls in place.
Investment Advisor September 2007 Melanie Waddell	Simplifying Financial Reporting An SEC committee takes the first stab at a huge task under SOX.
Financial Planning October 1, 2005 Lisa Roth	When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how.
Financial Planning March 1, 2011 Bob Veres	Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures.
On Wall Street June 1, 2010 Mark Astarita	Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.
CFO September 1, 2003 Alix Nyberg	Sticker Shock When Congress passed the Sarbanes-Oxley Act of 2002, it didn't worry about how much it would cost companies. Today, CFOs are totting up the compliance bill -- and they don't like what they see.
Commercial Investment Real Estate Nov/Dec 2013 Taylor & Trowbridge	Group Investing Update Changes to securities laws may change your business model.
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.
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.
CFO December 1, 2004 Kate O'Sullivan	Laying Down the Law By naming compliance officers, companies are putting new focus on regulatory issues -- and giving CFOs a break.
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.
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.
CFO December 1, 2011 Alix Stuart	The True Cost of Going Public Sarbox compliance costs pale in comparison to other IPO and post-IPO expenses.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Investment Advisor February 1, 2011 Melanie Waddell	2011: The Year the Advisors' Playing Field Fundamentally Changes All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission regarding putting brokers under a fiduciary mandate and appointing a self-regulatory organization.
Investment Advisor May 1, 2011 Kathleen McBride	SEC and the Fiduciary Study: Where Do We Go From Here? It's not whether to extend fiduciary duty, but how to extend it
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?