| Similar Articles |
|---|
 |
Reason
October 2003
Michael McMenamin |
St. Martha Why Martha Stewart should go to heaven and the SEC should go to hell.   |
The Motley Fool
June 5, 2007
Rich Duprey |
SEC Backs Scheme Liability In an effort to deflect the criticism that it's too pro-business, the SEC has decided to back a theory that may ultimately prove to be a particularly shareholder-hostile action. |
BusinessWeek
October 21, 2009
Farzad & Francis |
The SEC's Tough New Offensive on Insider Trading It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast. |
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. |
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? |
The Motley Fool
June 17, 2011
Morgan Housel |
Why Congress Loves Bank Stocks Little wonder that in a world where Congress can legally trade on inside information, the most faith is put in companies where Congress' actions influence most of the outcome. |
Registered Rep.
October 1, 2009
John Churchill |
SEC and CFTC Talk Reform The Securities Exchange Commission and the U.S. Commodity Futures Trading Commission announced Wednesday that they expect to release a report within two weeks that explains the regulatory responsibilities of each agency and recommends ways to improve their functioning. |
The Motley Fool
June 14, 2011
Rich Smith |
Dear Congress: Please Stop Robbing Us It's time to pass the Stop Trading On Congressional Knowledge Act. |
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
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
The Motley Fool
July 16, 2004
Tom Gardner |
Martha Stewart, Was It Insider Trading? She was convicted of perjury, but did she make an illegal stock trade? Investment Intelligence from Insider Trading author weighs in. |
BusinessWeek
February 17, 2011
Elliot Blair Smith |
A Hedge Fund's Moves Mimic Insider Dealings SAC's buying and selling parallel some trades based on tips. |
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 |
Reason
April 2004
Anderson & Jackson |
Washington's Biggest Crime Problem The federal government's ever-expanding criminal code is an affront to justice and the Constitution. |
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? |
BusinessWeek
May 30, 2005
Robert Berner |
Goodbye, Mr. Chips The case against an Ohio State professor increases the feds' harder line on insider trading. |
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. |
On Wall Street
February 1, 2010 |
Five Questions with David Tittsworth David Tittsworth has served in all three branches of government and discusses ways to police the advisory business. |
The Motley Fool
December 7, 2011
Rich Smith |
Support Your Local "Sheriff" ... in Supporting the STOCK Act Over a year ago, only a bare half-dozen congressmen were on record supporting a law that would ban insider trading on Capitol Hill. |
Knowledge@Wharton
Richard Shell |
It's About Time: Corporate Responsibility Law Finally Makes Lawyers More Accountable Although the reputations of CEOs, accountants, bankers, analysts, and even consultants have suffered during the recent spate of corporate scandals, lawyers so far have escaped blame, let alone indictment. But that may change, as it should. |
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. |
Investment Advisor
September 2010
Bob Clark |
Clark at Large: Time to Represent, Advisor Leaders! Advisors can play a powerful role in the SEC's fiduciary deliberations, if they can get their leaders to lead. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
The Motley Fool
January 4, 2012
John Reeves |
Let's Thwart America's Criminal Class A handy bibliography for the STOCK Act, proposed law that is designed to prohibit Senators and Representatives from trading securities based on nonpublic information. |
Registered Rep.
May 6, 2010
Kristen French |
Washington Goes Crazy For Fiduciary Standard A number of senators are scrambling to get on the fiduciary bandwagon following last weeks' Goldman Sachs hearings. |
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. |
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. |
Investment Advisor
August 2010
Bob Clark |
Can't Beat 'Em? Then Stall 'Em Despite the reform bill's ambiguity, a fiduciary standard for all seems likely. |
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. |
BusinessWeek
February 6, 2006
Emily Thornton |
More Heat On Hedge Funds As if there weren't enough controversy surrounding hedge funds, now the Securities & Exchange Commission is investigating suspicions that fund employees are engaging in insider trading. |
Financial Advisor
October 2009
Kristina Fausti |
A Higher Standard It appears that the SEC will remain the primary federal regulator of investment advisors, at least for now. |
Investment Advisor
May 2010
Melanie Waddell |
30 for 30 Interviews: Mary Schapiro SEC chairman Mary Schapiro talks about harmonizing rules for broker/dealers and advisors. |
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. |
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? |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
Reason
January 2004 |
Letters Liberty Belle... Bipartisan Coulterism... Denial of Service... etc. |
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. |
Investment Advisor
June 2009
Melanie Waddell |
Danger & Opportunity: Obama and SEC Enforcement Under Microscope As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way. |
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 |
Investment Advisor
October 2007
Melanie Waddell |
Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized. |
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. |
Financial Planning
August 1, 2006
Gavin Morrissey |
Flying Blind For financial advisory clients who are corporate insiders with company stock, a blind trust may be their best option. However, it's imperative that advisers work with attorneys who are familiar with blind trusts to ensure that the document includes the proper provisions. |
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. |
Investment Advisor
May 2007
Bob Clark |
We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC. |
The Motley Fool
November 11, 2009
Anand Chokkavelu |
How to Win When the Market Is Cheating You Believe it or not, though, some economists actually see the good in insider trading. In fact, they want to abolish our current rules and allow insider trading. Here's why. |
Investment Advisor
June 2010
Melanie Waddell |
FINRA's Ketchum Sees a Fiduciary Future for B/Ds Inappropriate sales of VAs to seniors at top of FINRA regulatory radar. |
Investment Advisor
October 2009
Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. |
Financial Planning
March 1, 2011
Donald B. Trone |
All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors. |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
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. |
