 |  | | 2004 News and Press Releases | | |
HEADLINES ARCHIVED 2004
When Companies Investigate Themselves
By: Kathleen Day and Ben White. WashingtonPost.com, December 31, 2004
Brave CEOs Turn To Google For Insight On Their Companies And Self
By: Staff Writer. AccountingWeb.com, December 31, 2004
Two Circuits Are Split On 'Safe Harbor' Protection For Companies
By: Michael Bobelian. New York Law Journal, December 30, 2004
Class Actions; Dutch Businesses Push To Allow The Broad Settlements Their U.S. Counterparts Disdain
By: Michael Bobelian. Broward Daily Business Review, December 30, 2004
Potential Rule Change Threatens Nyse
By: Staff Writer. Los Angeles Times - Washington Post, December 30, 2004
Green Eyeshades Never Looked So Sexy: Auditors Can Write Their Own Ticket In These Post-Enron Days
By: Staff Writer. Businessweek Online, December 29, 2004
Shareholders Begin To Fight Rich Payouts To Exiting Executives
By: Staff Writer. Chicago Tribune, December 29, 2004
Sarbanes-Oxley: Corporate Boon And Bane
By: Staff Writer. United Press International, December 29, 2004
Class-Action Suits Become More Popular Overseas
By: Jonathan Birchall and Nikki Tait – Financial Times. National Post, December 29, 2004
Nonprofit Organizations Join Rush To Conform With New Financial Controls
By: Staff Writer. High Point Enterprise, December 28, 2004
Investor Resource Guides Come Online
By: Staff Writer. AccountingWeb.com, December 28, 2004
A Smaller Securities Case With A Big Wallop Loss Causation Key To Securities Fraud
By: Marcia Coyle. The National Law Journal
, December 27, 2004
Cash Imbalance; Outcome Of Ibm Case Could Ripple Throughout Nation
By: Roger Fillion. Rocky Mountain News , December 27, 2004
FEI Outlines Top Ten Financial Reporting Challenges For 2005
By: Staff Writer. AccountingWeb.com, December 27, 2004
Sarbanes-Oxley Deadline Looms Like A Corporate Compliance Y2k
By: Patrick F. Gannon – Miami Daily Business Review. Law.com, December 23, 2004
N.Y. High Court Resolves Issue On Insurer And Attorney Fees
By: John Caher – New York Law Journal. Law.com, December 20, 2004
Tolling Ok When Class Action Stopped Due To Inadequate Representatives
By: Shannon P. Duffy – The Legal Intelligencer. Law.com, December 17, 2004
A Penchant For Pension Suits – Plaintiff Law Firms Find New Cause Of Action In Suits Over Pension Plans Whose Worth Has Plummeted
By: Leigh Jones. Broward Daily Business Review, December 17, 2004
SEC Proposes Best-Price Rule In Stock Trades
By: Staff Writer . Los Angeles Times - Washington Post, December 16, 2004
FASB Rules That Companies Must Expense Stock Options
By: Staff Writer. AccountingWeb.com, December 16, 2004
NYSE Challenges Sec Proposal
By: Staff Writer. CBS Marketwatch , December 16, 2004
Lawyers Clear Krispy Kreme Of Misconduct
By: Staff Writer. General Financial/ Business News , December 16, 2004
SEC Leaves Bank-Broker Regulation Hanging Again
By: Staff Writer. Bank Investment Consultant, December 15, 2004
SEC Propose Stock-Trading Changes
By: Staff Writer. General Financial/ Business News, December 15, 2004
Sarbanes-Oxley Act, Designed To Stop Accounting Scandals, Proves A Windfall For Auditors, Consultants
By: Mark Davis. Kansas City Star, December 14, 2004
Longer SOXA Limitations Period Does Not Revive Expired Fraud Claims
By: Phyllis Diamond. Securities Regulation & Law Report Banner, December 13, 2004
Soft Dollars To Be Priority For SEC Next Year: Roye
By: Staff Writer. Money Management Executive, December 13, 2004
The 404 Maelstrom
By: Staff Writer. Investment Dealers Digest, December 13, 2004
Where's That Quarterly Report?
By: Staff Writer. Business Week, December 13, 2004
Let The US Public Decide On Auditors Says PCAOB Chairman
By: Staff Writer. Financial Times, December 10, 2004
SEC Signals An End To Costly Double Accounts
By: Staff Writer. Financial Times, December 7, 2004
SEC Seeks Disclosure Of Accounting Info
By: Staff Writer. General Financial/ Business News , December 7, 2004
SEC Expected To Put CCOS To Acid Test
By: Staff Writer. Money Management Executive, December 6, 2004
The Cost To Comply
By: Staff Writer. Securities Industries News, December 6, 2004
Integrated Electrical Services Announces Earnings Release And Conference Call Schedule And Settlement Of Previously Announced Legal Verdict
By: Staff Writer
. PR Newswire US, December 6, 2004
Related-Party Transactions Still Common
By: Staff Writer. United Press International , December 4, 2004
Recent Class-Certification Decisions
By: Edward M. Spiro. New York Law Journal, December 2, 2004
D & O Insurance Meets Accounting Fraud: So-Called 'Side A' Coverage Can Go Far To Protect Directors And Officers From The Financial Impact Of Lawsuits Stemming From Charges Of Material Misrepresentation Of Financial Statements; Directors' And Officers' Liability Insurance
By: Paul A. Ferrillo. Financial Executive, December 1, 2004
SEC; Securities And Exchange Commission
By: Jeffrey Marshall. Financial Executive, December 1, 2004
'Inspire': Fifth Circuit Rejects Group Pleading Doctrine
By: John A. Neuwirth. New York Law Journal, November 30, 2004
An Invaluable Tool In Corporate Reform; Pension Fund Leadership Improves Securities Litigation Process
By: Jay W. Eisenhofer. Pensions & Investments, November 29, 2004
No More Breaks For The Big Board
By: Staff Writer. Business Week, December 6, 2004
Legal Opinion Letter
By: Joseph De Simone, Matthew D. Ingber and Evan A. Creutz, Brown, Rowe & Maw LLP. Washington Legal Foundation, December 3, 2004
SEC Sticks To Core Purpose: Bottom Line Is Investor Protection
By: Staff Writer. Financial Times, December 3, 2004
Judge Upholds Sarbanes-Oxley In Scrushy Fraud Case
By: Staff Writer. AccountingWeb.com, December 2, 2004
SEC May Delay Planned Vote On Stock Trades - Following Wall Street Criticism, Regulator Likely To Seek Comment On Expansion Of 'Best-Price' Rule
By: Deborah Solomon and Kate Kelly. The Wall Street Journal, December 1, 2004
SEC To Defend Independent Fund Chair Rule
By: Staff Writer. CBS Marketwatch, December 1, 2004
SEC; Securities And Exchange Commission
By: Jeffrey Marshall. Financial Executive, December 1, 2004
D & O Insurance Meets Accounting Fraud: So-Called 'Side A' Coverage Can Go Far To Protect Directors And Officers From The Financial Impact Of Lawsuits Stemming From Charges Of Material Misrepresentation Of Financial Statements; Directors' And Officers' Liability Insurance
By: Paul A. Ferrillo. Financial Executive, December 1, 2004
NYSE Probes Wall St. Prospectus Failures
By: Staff Writer. General Financial/ Business News, November 30, 2004
NASD Metes Out Fines To 29 Securities Firms
By: Annalisa Burgos. Forbes.com, November 30, 2004
SOX 404 Trends For Next Year Beginning To Emerge
By: Staff Writer. AccountingWeb.com, November 29, 2004
First Big Sarbanes-Oxley Test Coming For $75M-Plus Market Cap Companies
By: Staff Writer. Investrend, November 29, 2004
U.S. Workers, Investors Largely Unaware Of Sarbanes-Oxley Act
By: Staff Writer. AccountingWeb.com, November 24, 2004
NYSE Warns Specialist Firms About Leaks
By: Kate Kelly. The Wall Street Journal, November 26, 2004
Study: Real Costs Of Mutual Funds Hidden
By: Staff Writer. Associated Press, November 23, 2004
Whistleblower Complaints Are Up, But Why?
By: Adam Geller – The Associated Press. Law.com, November 23, 2004
Is 'Best Price' Best? Depends Who You Ask
By: Kate Kelly (Deborah Solomon contributed to this article). The Wall Street Journal, November 23, 2004
PCAOB Releases Additional Guidance For Audits Of Internal Control
By: Staff Writer. AccountingWeb.com, November 23, 2004
SEC Preps 'Best-Price' Overhaul - Trading-Regulation Proposal Would Require Full List Of Offers, 'Intermarket Sweeps' By Brokers
By: Kate Kelly and Deborah Solomon. The Wall Street Journal, November 22, 2004
A Boon For The Bean Counters
By: Staff Writer. Business Week, November 22, 2004
SEC Funding Comes With Strings Attached
By: Staff Writer. AP Online, November 22, 2004
Proxy Access: To Be Or Not To Be?
By: Staff Writer. Mergers & Acquisitions Report, November 22, 2004
Survey Says Brokers Giving Advice Should Have Higher Standards
By: Staff Writer. CBS Marketwatch, November 22, 2004
Stock Options Bill Stalls
By: Staff Writer. TheDeal.com, November 18, 2004
SEC Extends New Deadlines By One Year
By: Staff Writer. Financial Times, November 18, 2004
No Prospectus? NYSE Blames Brokerage Firms
By: Ann Davis. The Wall Street Journal, November 16, 2004
SEC Remains Empty-Handed On New Trading Regs Timing
By: Staff Writer. Money Management Executive, November 15, 2004
Strides Seen In Corporate Governance Practices
By: Staff Writer. Money Management Executive, November 15, 2004
Litigation By Shareholders 'Almost Doubles'
By: Staff Writer. Financial Times, November 15, 2004
Fraud On The Market?; Behavioral Finance Undercuts Efficient-Market Hypothesis and Class Actions
By: Mark D. Wegener and Martin F. Cunniff. Legal Times, November 15, 2004
Senators Want Whistle-Blower Law Enforced
By: Staff Writer. General Financial/ Business News, November 14, 2004
Companies Devote More Time to '404' Compliance; Auditors In High Demand
By: Staff Writer. Houston Chronicle, November 13, 2004
SOX Takes Toll On Industry Confidence, Client Ratings Of Accounting Firm Performance
By: Staff Writer. AccountingWeb.com, November 11, 2004
SEC Delays Plan To Oversee Bank Brokerages
By: Staff Writer. AccountingWeb.com, November 4, 2004
Wall Street's 'Conflict Reviews': What's The Next Step?
By: Ann Davis. The Wall Street Journal, November 4, 2004
Moving The Market: SEC Reviews Markets' Governance
By: Deborah Solomon. The Wall Street Journal, November 4, 2004
Big Stick At The Big Board
By: Staff Writer. Businessweek Online, November 4, 2004
Sarbanes-Oxley Aids Overseas Accountants - U.S. Law Has Global Reach And Fuels Revenue Growth At Some Firms In The U.K.
By: David Reilly. The Wall Street Journal, November 2, 2004
NYSE Competition Could Bring More Choices, Lower Costs
By: Staff Writer. CBS Marketwatch, November 1, 2004
The High Cost Of Sarbanes-Oxley: The True Cost Of Compliance Is Just Beginning
By: Staff Writer. CreditCollectionsWorld.com, November 1, 2004
Down But Not Out: Can Opponents Block Hedge Fund Regulation Through Litigation?
By: Staff Writer. Securities Industries News, November 1, 2004
SEC Seeking More Oversight Power
By: Staff Writer. CBS Marketwatch, October 29, 2004
Sarbanes-Oxley Remains A Force To Be Reckoned With In The Boardroom
By: Staff Writer. AccountingWeb.com, October 28, 2004
Exploring A New World Of SEC Compliance
By: Staff Writer. Mortgage Technology Magazine, October 20, 2004
Auditing In The E-Commerce Era
By: Staff Writer. Information Management & Computer Security , October 20, 2004
Business Chiefs Attack Sarbanes-Oxley
By: Staff Writer. Financial Times , October 19, 2004
Litigants' Settlement Did Not Require Court's OK
By: Patricia Manson. Chicago Daily Law Bulletin, October 19, 2004
The 'Quiet Period' Getting An Overhaul
By: Staff Writer. Investment Dealers Digest , October 18, 2004
Independent Research Sees Hard Times
By: Staff Writer. Financial Times, October 16, 2004
PCAOB Chairman Warns More Restatements Could Be Coming
By: Staff Writer. AccountingWeb.com, October 15, 2004
See What's Ahead For NASDAQ
By: Paul Maidment. Forbes.com, October 15, 2004
SEC Chief Lashes Out At Reform Opponents
By: Staff Writer. AP Online , October 15, 2004
SEC Chairman Attacks Corporate Ethical Myopia, Shareholder Greed
By: Staff Writer. Evening Standard , October 15, 2004
Corporate Boards, Sr. Executive See Shortcomings in Monitoring & Reporting
By: Staff Writer. AccountingWeb.com, October 14, 2004
SEC Proposes Rules To Eliminate Ipo Abuses; The Agency Is Seeking To Crack Down On Practices By Investment Banks That Can Artificially Spur Demand For Stock
By: Staff Writer - Bloomberg News. Los Angeles Times, October 14, 2004
SEC Chief Calls For Tougher SRO Rules
By: Staff Writer. BS Marketwatch , October 14, 2004
Sarbanes-Oxley Compliance Is Lagging
By: Staff Writer. Marketwatch , October 14, 2004
Audit Board Delays Rule On Options As Expenses
By: Floyd Norris. NYTimes.com, October 14, 2004
Ahold Reaches A Settlement With The S.E.C.
By: Gregory Crouch. NYTimes.com, October 14, 2004
Court Permits IPO Cases To Proceed As Class Actions In IPO Securities Litigation
By: Staff Writer. PR Newswire, October 13, 2004
US Governance 'Is Improving'
By: Staff Writer. Financial Times , October 13, 2004
SEC Chair Says Public Distrusts Wall St.
By: Staff Writer. AP Online , October 13, 2004
Daleen Announces Settlement Agreement
By: Staff Writer. Business Wire, October 13, 2004
Accounting Problems
By: Brenda Sapino Jeffreys. Texas Lawyer, October 11, 2004
Fund Shareholders To Get Reimbursed In Scam, Eventually
By: Staff Writer. Los Angeles Times - Washington Post , October 11, 2004
Westpoint Seeks Crt Ok Of $4.25m Lawsuit Settlement
By: Christopher Scinta. Dow Jones & Company, Inc., October 11, 2004
Spectralink Settles Shareholder Lawsuit
By: Staff Writer. PR Newswire (U.S.), October 8, 2004
KPMG Units Agree To Pay To Settle Malpractice Suits
By: Barnaby J. Feder. The New York Times, October 8, 2004
Northwestern Corporation Receives Bankruptcy Court Approval For Securities Class Action Settlement
By: Staff Writer. PR Newswire, October 7, 2004
Double Whammy: Both The NASD And The SEC Are Tightening The Screws
By: Staff Writer. Financial Planning , October 1, 2004
3rd Circuit: Defendants Cannot 'Pick Off' Class Action Plaintiffs Using Rule 68
By: Shannon P. Duffy – The Legal Intelligencer. Law.com, September 30, 2004
NASDAQ Chief Sees Changes Ahead
By: Paul Maidment. Forbes.com, September 29, 2004
FASB Foes Could Stall Options Rules
By: Staff Writer. TheDeal.com, September 28, 2004
A Better Way To Start The Day
By: Staff Writer. Securities Industries News, September 27, 2004
SEC Considers Easing SOX Rules For Small Businesses
By: Staff Writer. AccountingWeb.com, September 27, 2004
Questioning Authority
By: Staff Writer. Securities Industries News, September 27, 2004
Now, An Advance Look At Those Big Paychecks
By: Staff Writer. New York Times, September 26, 2004
Quiet, Please! Suddenly, The S.E.C. Is Listening
By: Staff Writer. New York Times, September 26, 2004
SEC May Help Businesses With Accounting
By: Staff Writer. General Financial/Business News, September 24, 2004
SEC Under Fire Over Implied Rule
By: Staff Writer. AccountingWeb.com, September 23, 2004
SEC OKs Brokerage Compliance Rule
By: Staff Writer. General Financial/ Business News, September 23, 2004
Analysis: Battle Heats Up Over Stock-Option Rules
By: Rachel Beck - AP. San Jose Mercury News, September 21, 2004
SEC Chief Says Bosses Are Not Giving Ethical Lead
By: Staff Writer. Financial Times, September 20, 2004
SEC Boss Defiant On Corporate Reforms
By: Staff Writer. The Guardian, September 20, 2004
Donaldson Calms Indie Fears
By: Staff Writer. Investment Dealers Digest , September 20, 2004
SEC Warns Big Four Against Dropping Small Clients
By: Staff Writer. AccountingWeb.com, September 20, 2004
Securities Litigators Vie For Lists; States Focusing On A Few 'Go-To' Firms.
By: Leigh Jones. National Law Journal, September 20, 2004
Money On The Table
By: Neil Weinberg and Daniel Fisher. Forbes.com, September 20, 2004
United States: Increased SEC Aggressiveness In Investigations And Enforcement Actions: New Initiatives, Tougher Stances, Wider Exposure And Stiffer Penalties For Non-Cooperation
By: Thomas S. Richey, Scott Sorrels and Jennifer D. Odom -- Powell Goldstein Frazer & Murphy LLP. Mondaq.com, September 17, 2004
Corporate America Offers A Vote Of No Confidence
By: Staff Writer. Los Angeles Times - Washington Post, September 16, 2004
Heavyweights Debate SEC Hedge Plan
By: Staff Writer. CBS MarketWatch, September 15, 2004
Paper Tigers: Forensic Accountants Put Teeth In Fraud Suits
By: Brenda Sandburg. The Recorder, September 14, 2004
Fund Industry Hears Wake-Up Call
By: Staff Writer. CBS Marketwatch , September 14, 2004
Tech Cos. Unveil Options-Expensing Plan
By: Staff Writer. General Financial/ Business News , September 14, 2004
NASD Examines Disclosure In 529 Plan Sales
By: Staff Writer. AccountingWeb.com, September 14, 2004
Lawmakers Wants Credit-Rating Reform
By: Staff Writer. General Financial/ Business News, September 14, 2004
SEC Hedge Fund Rules A Step Closer
By: Staff Writer. CBS Marketwatch, September 14, 2004
SEC May Have To Back Claims In Court
By: Staff Writer. Los Angeles Times - Washington Post , September 13, 2004
Issuers Struggle With Pre-Ipo Criticism
By: Staff Writer. General Financial/ Business News , September 13, 2004
Courts Make Discovery Exceptions Under Securities Act
By: Michael Bobelian. New York Law Journal, September 9, 2004
SEC Rejects Delay In Mutual Fund Independence Rule
By: Judith Burns . Dow Jones News Service , September 9, 2004
Risky Jobs May Be Too Dangerous For Us, Say Auditors
By: Staff Writer. Daily Telegraph, September 8, 2004
FASB Will Allow Companies To Decide How To Value Stock Options
By: Staff Writer. AccountingWeb.com, September 2, 2004
AccountingWeb.com
By: Staff Writer. , September 2, 2004
FASB Refuses To Back Down On 'Underwater' Options
By: Staff Writer. Financial Times , September 2, 2004
Gauging Plaintiff Attorneys' Risk In Securities Class Actions
Brian Murray and Gregory Linkh, Miami Daily Business Review, September 1, 2004
Supreme Court To Hear Appeal From A Lerach Target
By: Andrew Longstreth – The American Lawyer. The Recorder, September 1, 2004
SEC Proposes To Delay Accelerated Filing
By: Staff Writer. AccountingWEB.com, August 30, 2004
Just A Friendly Group Of Independent Directors
By: Gretchen Morgenson. The New York Times, August 29, 2004
Civil Cases Don't End Cheaply Balance Sheet
By: Jim Peterson. International Herald Tribune, August 28, 2004
Dormant Lawsuit May Be Revived; If Successful, Suit Against 401(K) Provider Could Open Door
By: Brooke Southall. Investment News, August 23, 2004
NYSE Revamp Plan Leaves Some Unanswered Questions
By: Kate Kelly. The Wall Street Journal, August 19, 2004
Auditor Turnover: SEC Seeks 'The Rest of the Story'
By: Staff Writer. AccountingWeb.com, August 18, 2004
Breaking The Buck And Passing It, Too
By: William P. Barrett. Forbes.com, August 18, 2004
SEC Reopens Fee-Based Brokerage Issue, Vows '04 Decision
By: Judith Burns. Dow Jones News Service, August 18, 2004
SEC Bans 'Directed Brokerage'
By: Staff Writer. Los Angeles Times - Washington Post. August 18, 2004
Fund Reform Proposals Carry Price Tag
By: Staff Writer. CBS Marketwatch. August 17, 2004
CEO Elections Out Of Shareholders' Control
By: Staff Writer. Financial Times, August 17, 2004
SEC Releases Strategic Five-Year Plan
By: Staff Writer. Money Management Executive, August 16, 2004
Court May Suspend Liberate Technologies Ch 11 Case
By: Paulette Chu. Dow Jones, August 16, 2004
SEC May Give Companies A Break From New Accounting Rules
By: Staff Writer. AccountingWeb.com, August 16, 2004
Well, At Least It's An Improvement
By: Staff Writer. CBS MarketWatch, August 12, 2004
Companies Balk At Cost Of Compliance
By: Staff Writer. Financial Times, August 12, 2004
Securities Class Action Lawsuits Against Life Sciences Companies On The Rise Even As Overall Filings Decline
By: Staff Writer. Business Wire, August 10, 2004
Corporate Reforms May Delay SEC Initiatives
By: Staff Writer. Los Angeles Times - Washington Post, August 10, 2004
Would You Take This Minimum Wage Job?
By: Staff Writer. Fortune, August 09, 2004
Give Shareholders More Of A Say
By: Staff Writer. The Atlanta Journal-Constitution, August 9, 2004
UCLA Study Shows Independent Research 8% Better Than Investment Banking Research
By: Staff Writer. Investrend, August 9, 2004
Stop The Opt-Out?
By: Staff Writer. Securities Industries News, August 9, 2004
GAO Asks SEC To Modify Fund Reform
By: Staff Writer. CBS Marketwatch, August 9, 2004
Kissing The Public Goodbye
By: Andrew Ross Sorkin. NYTimes.com, August 8, 2004
The N.Y.S.E.'s Human Factor
By: Staff Writer. The New York Times, August 5, 2004
The SEC's Too Special Access
By: Staff Writer. The Wall Street Journal, August 5, 2004
E-COMMERCE: Money Sought From Dot-Com Rubble
By: John G. Edwards. Las Vegas Review-Journal (Nevada), August 3, 2004
Companies, Auditors Parting More Often
By: Staff Writer. AccountingWeb.com, August 3, 2004
Tough Prosecutors Changing Corporate Environment
By: Staff Writer. AccountingWeb.com, August 2, 2004
The Percentage Of Accounting-Related Cases Remains High, The Dollar Amount Of Settlements And The Potency Of Securities Litigation Continue To Increase, According To Pricewaterhousecoopers Study
By: Staff Writer. PR Newswire, August 2, 2004
Corporate Scandals Attract Students To Accounting
By: Staff Writer. AccountingWeb.com, August 2, 2004
Street Sleuth: Firms Weigh Risk Of Fighting Suits - More Corporations In U.S. Agree To Pay Hefty Price To Settle Securities Cases
By: Jonathan Weil. The Wall Street Journal Europe, August 2, 2004
The Case Of The Vanishing 401(K)S; Are Workers' Suits Over Retirement Plans Forcing Corporate America To Improve Them?
By: Amy Borrus. Business Week, August 2, 2004
Top 25 Plaintiffs' Law Firms For Securities Class Actions (2003)
By: Staff Writer. Corporate Legal Times, V14;N153, August, 2004
Mega Firms Dominate Securities Class Actions
By: Staff Writer. Corporate Legal Times, August 2004
Court Revives Investors' Lawsuit Over Baxter Financial Projections
By: Staff Writer. Chicago Tribune, July 30, 2004
Whistle-Blowers Form A Breed Apart Complainants Take Risks Unfathomable To Most
By: Greg Farrell. USA TODAY. July 29, 2004
Claimants Cannot Avoid Effect Of Section 510(B) Using 'Novation' Argument
By: Staff Writer. BCD News and Comment. July 28, 2004
To Get What's Yours, You've Got To Do Some Reading Piles Of Paper Can Be Worth The Wade
By: Matt Krantz. USA TODAY. July 28, 2004
Shareholder Suits Mean More Money For Lawyers, But Bring Governance Gains
By: XBruce Meyerson. The Associated Press. Ju ly 28, 2004
FASB Mulling Deferred-Tax Changes That Could Cut Profit
By: Lingling Wei. Dow Jones News Service. July 27, 2004
Corporate Directors' Pay Jumped In 2003 Along With Duties
By: Phyllis Plitch. Dow Jones News Service. July 27, 2004
Investor's Timing Cut? Not A Latte; Settlement Pot Grows, But Most Likely To Get Just Enough For Coffee
By: Ilana Polyak. Investment News, July 26, 2004
NYSE's Hybrid Plan Boosts IT
By: Staff Writer. Securities Industries News. July 26, 2004
StockGate: SEC Fails To Support NASD In Fighting Short Selling, Says Opponents
By: Staff Writer. FinancialWire. July 26, 2004
NYSE Asks Spitzer To Drop It From Suit
By: Staff Writer - Dow Jones Newswires. The Wall Street Journal. July 26, 2004
Extra Help For Investors - Wall Street Gearing Up To Provide Independent Research
General Financial/ Business News, July 21, 2004
Associations Attack SEC Securities Guideline Draft
Financial Times USA, July 21, 2004
Financial Planners To Sue SEC On Broker Advice Rule
By: Judith Burns. Dow Jones News Service, July 20, 2004
House Votes Against Stock Options Expensing
By: Jon Ann Steinmetz. San Jose Mercury News, July 20, 2004
Favoritism Fuels Flap Over 401(K) Fees: SEC Probes Revenue Sharing At Major Fund Houses
Money Management Executive, July 19, 2004
Fraud Suits Can Be Lawyers' Bonanza
By: Thomas J. Cole. Albuquerque Journal, July 18, 2004
Shareholder Isn't Heard Over Whining
By: Loren Steffy. Houston Chronicle, July 18, 2004
SEC Steps To Plate In Fund Scandal
By: Tom Petruno. Los Angeles Times - Washington Post, July 18, 2004
Many Companies See SOX As Part Of A Broader Initiative
AccountingWeb.com, July 15, 2004
SEC's Donaldson Defends More Hedge-Fund Oversight
By: Judith Burns. Dow Jones News Service, July 15, 2004
PCAOB Ponders Tax Service, Auditor Independence
AccountingWeb.com, July 15, 2004
Settlement's Benefits Are Still A Matter Of Opinion: Richard Beales Queries Whether Research Deal With Wall Street Will Restore Integrity
By: Richard Beales. Financial Times, July 14, 2004
U.S. Corporations Struggling To Meet First Sarbanes-Oxley Filing Deadline
AccountingWeb.com, July 14, 2004
Despite Wave Of Corporate Scandals, Few Business Schools Require Ethics Courses
Pittsburgh Post-Gazette, July 13, 2004
Beefed Up Securities Law Empowering Shareholders
By: Yo Makino. The Nikkei Weekly (Japan), July 12, 2004
Missing Piece Of SEC Puzzle
Securities Industries News, July 12, 2004
Senate Abandons Class Action Lawsuit Bill
By: Jim Abrams. The Associated Press, July 12, 2004
Investor Education Fund Names 6 Directors To Board
By: Lynn Cowan. Dow Jones News Service, July 12, 2004
Wall Street Holds Its Breath Over Ruling: A Case Linked To An Asthma Device Could Settle The Issue Of Loss Causation, Which Has Divided US Courts Since 1995
By: Jonathan Birchall. Financial Times, July 12, 2004
Earth To Silicon Valley: You've Lost This Battle Why Tech Should End Its Fight Against Options Expensing
BusinessWeek, July 12, 2004
No Safety At The Top For Corporate Leaders
By: Carrie Johnson and Ben White. WashingtonPost.com, July 9, 2004
Glassman Hits Out At SEC Research POLICY
Financial Times UK, July 8, 2004
SEC Loosens Gramm-Leach-Bliley Proposal
Bank Investment Consultant, July 8, 2004
Proxy-Access Proposal For Holder Nominees Is Still Alive
By: Phyllis Plitch. Dow Jones, July 8, 2004
S.E.C. Inquiry To Encompass 401(K) Plans
By: Gretchen Morgenson. NYTimes, July 7, 2004
The Year Of Internal Control: The Clock Is Ticking For Sarbanes-Oxley Compliance
By: J. Stephen McNally. AccountingWeb.com, July 7, 2004
Post Of Lead Director Is Catching On
By: Phyllis Plitch. The Wall Street Journal, July 7, 2004
Tough Corporate Reforms Are Still Being Dodged
By: Ira Millstein. Financial Times UK, July 6, 2004
Looking For More Than A Few Good Directors
By: Gary Rivlin. The New York Times, July 4, 2004
Key Ally Supports NYSE's Fight: Investment Company Institute Backs Opposition To SEC Plan For Stock Trading Reform: * Most Mutual Fund Members Oppose Opt-Out
Financial Times USA, July 1, 2004
S.E.C. At Odds On Plan To Let Big Investors Pick Directors
By: Stephen Labaton. NYTimes.com, July 1, 2004
Donaldson Backs Plan For SEC To Register Hedge Funds
By: Carrie Johnson. WashingtonPost.com, July 1, 2004
In The News
By: Michael Bobelian. Corporate Counsel, July 2004
Women GCS
Corporate Counsel, July 2004
Restraining The Gavel's Power; Ruling Could Prompt Challenges To White-Collar Sentences
By: Carrie Johnson and Brooke A. Masters. The Washington Post, June 30, 2004
Supreme Court Ruling Could Hit Fraud Lawsuit Claims
By: Adrian Michaels. Financial Times (London, England), June 29, 2004
SEC's Nicolaisen Concerned About FASB Plan Implementation
By: Lingling Wei. Dow Jones News Service, June 29, 2004
Two New Studies Could Provide Ammo Vs Governance Backlash
By: Phyllis Plitch. Dow Jones News Service, June 29, 2004
PCAOB Finds 'Significant' Issues In Review Of Big 4 Audits
AccountingWeb.com, June 28, 2004
SEC, PCAOB Offer FAQs on Auditing Standard No. 2
AccountingWeb.com, June 25, 2004
Bankruptcy Removal Statute Trumps Securities Act Of 1933
Commercial Lending Litigation News, June 25, 2004
S.E.C. Comments To Companies To Be Put Online
By: Stephen Labaton. NYTimes.com, June 25, 2004
SEC Bars Fund Employees From Serving As Board Chairs
Los Angeles Times - Washington Post, June 24, 2004
Stock Options Debate Turns Emotional
By: Mark Schwanhausser. Mercury News, June 24, 2004
SEC Commissioner Atkins Slams New Fund Governance Rule
By: Jed Horowitz. Dow Jones News Service, June 24, 2004
Judge's Ruling Setback For IPO Class-Action Bid: Deadlines Set: Suit Of 55 Investment Banks Threatened By Evidence Technicality
By: Kevin Drawbaugh and Jake Keaveny. National Post, June 23, 2004
NYSE Warns Fee-Based Brokerage Accounts Can Be Harmful
By: Jed Horowitz. Dow Jones News Service, June 23, 2004
SEC Chief Moves To Calm Rules Hysteria
FinancialTimes.com, June 22, 2004
S.E.C. To Order That Funds Have Outsiders As Chairmen
By: Stephen Labaton. NYTimes.com, June 22, 2004
Dueling Views Of Reform
By: Kathleen Pender. SFChronicle, June 22, 2004
SEC Planning To Charge Insurers For Trading Deals
Mutual Fund Market News, June 21, 2004
SEC Approves PCAOB Auditing Standard No. 2
AccountingWeb.com, June 21, 2004
Bankruptcy Removal Statute Trumps Securities Act Of 1933
BCD News and Comment, June 17, 2004
Panel Approves Accounting Rules Stock Options for 5 Top Executives Would Be Treated As Expenses
By: Carrie Johnson. WashingtonPost.com, June 16, 2004
Ex-SEC Chiefs Back Mutual Fund Plan
By: Carrie Johnson. WashingtonPost.com, June 16, 2004
Corporate Interests Try To Hold Off Change
By: Bruce Meyerson. NYTimes.com, June 15, 2004
Congress Votes To Keep Options Off P&L
By: Susan Cornwell and Kevin Drawbaugh. Reuters, June 15, 2004
Legal Threat To SEC Over Reform Proposals
By: Dan Roberts and Adrian Michaels. FinancialTimes.com, June 15, 2004
Link Found Between Candor, Share Prices - Most Ceos At Large Public Companies Fail To Report Net Income Forthrightly, Survey Finds
By: Stephen Taub. CFO.com, June 15, 2004
Investors Fending For Themselves - Commentary: Time For Securities-Law Overhaul
By: Thomas Kostigen. CBSMarketWatch.com, June 14, 2004
SEC Warns Auditors On Contingency Fees - The Statement By The Commission's Top Accountant Seems To Be Another Sign Of Increased Regulatory Interest In Auditor Independence
By: Stephen Taub. CFO.com, June 14, 2004
In Defense Of Sarbanes-Oxley
By: Paul Volcker and Arthur Levitt Jr. The Wall Street Journal, June 14, 2004
The 2004 Fortune All-Star Portfolio; Yes, Some Analysts Really Are Good Stock Pickers. Here Are The Ten Best Ideas From Wall Street's Top Researchers.
By: David Rynecki, Research Associates Susan M. Kaufman and Helen Kim, Fortune. June 14, 2004
Directors' And Officers' Liability; Advancement Of Legal Expenses
By: Joseph M. McLaughlin. New York Law Journal, June 10, 2004
Managing The Risks Of Sarbox 409 - Although The Perils Involved In Real-Time Financial Reporting Stack Up As Formidable, Few Companies Are Up To Tackling Them, Compliance Experts Say
By: David M. Katz. CFO.com, June 10, 2004
Whistle-Blower Claims Mostly Dismissed Eighty Percent Of The Claims Of Employees Seeking Protection Under The Sarbanes-Oxley Act Have Been Tossed Aside
By: Stephen Taub. CFO.com, June 10, 2004
Board Approves Accounting Rules - Auditors Will Be Required To Preserve Backup Documents
By: Carrie Johnson. WashingtonPost.com, June 10, 2004
Higher Recovery Cap Allowed For Funds Lost In Investment Scam
By: Mark Hamblett. Law.com, June 10, 2004
Schwab CEO Pottruck Sees Industry Scandal Growing
By: Greg Cresci. Reuters, June 10, 2004
Survey Shows 87 Percent of CEOs Fail Candor Test
AccountingWeb.com, June 9, 2004
Corporate Boards Undergo Shakeup - Most Companies Hired New Directors This Year, While Many Are Boosting The Pay Of Committee Chairs, A Study Finds
By: Stephen Taub. CFO.com, June 9, 2004
The Stakes Should Be High For Non-Executive Directors
By: Michael Skapinker. FinancialTimes.com, June 9, 2004
S.E.C. Acts On Corporate Shells
NYTimes.com, June 9, 2004
SEC Chairman Under Pressure On Proxy Plan
By: Carrie Johnson. WashingtonPost.com, June 8, 2004
Research Settlement May Fund Investor Education
By: Lynn Cowan - Dow Jones Newswires, The Wall Street Journal. June 3, 2004
A New Study Of IPOs Suggests That When Commercial-Bank Subsidiaries Serve As Underwriters, Shares Are Generally Priced More Efficiently Than When Investment Banks Handle The Offering
By: Don Durfee, CFO Magazine. June 3, 2004
Major Investors Back Proxy Access - Proposal Would Still Require A Two-Year Process Before Certain Large Shareholders Could Nominate Their Own Candidate To A Company's Board Of Directors
By: Stephen Taub, CFO.com. June 2, 2004
Break Up The Big Four? It May Be Time To Break Up The Largest Accounting Firms
By: Joseph McCafferty, CFO.com. June 2, 2004
Senator Warns Lawmakers Against Options Bill
By: Susan Cornwell, Reuters.com. June 2, 2004
Ex-SEC Chiefs Back Independent Chairmen For Funds
By: Kevin Drawbaugh, Reuters.com. June 2, 2004
Vote On Reforming Boardroom Elections Delayed By SEC Split
By: Adrian Michaels, FinancialTimes.com. June 1, 2004
The Street's New Cops In A Tougher Regulatory Environment, Demand For Seasoned Legal Talent Skyrockets
By: Caren Chesler, Investment Dealers Digest. May 31, 2004
SEC Is Planning To Hire Psychologist For Workers
By: Staff Writer - Dow Jones, Desert Morning News (Salt Lake City). May 29, 2004
Oxley Urges Independent Chairman For Mutual Fund Families
WebCPA.com, May 28, 2004
S.E.C. Backs Rules On Fund Ethics And Disclosure
By: Stephen Labaton. NYTimes.com, May 27, 2004
Sarbanes-Oxley: Is The Price Too High?
By: John Thain. The Wall Street Journal, May 27, 2004
NYSE CEO Steps Out Of Shadows, Into The Limelight
By: Javier David. Forbes.com, May 27, 2004
Treasurers Urge SEC Not To Back Away From New Rules
By: David Gram. Newsday.com, May 27, 2004
U.S. EU Market Regulators To Step Up Cooperation
By: John Poirier.Forbes.com, May 26, 2004
Internal Auditors Find Control Gaps - Most Companies Have Flaws In Their Framework For Complying With Section 404 Of Sarbanes-Oxley, Survey Finds
By: Stephen Taub. CFO.com, May 26, 2004
SEC Shoots Down Contingent Fee Loophole
AccountingWEB.com, May 25, 2004
US SEC Penalties Soar, Reflecting New Approach
By: Kevin Drawbaugh. Forbes.com, May 24, 2004
SEC May Demand Exchanges Adopt Wider Governance
By: Judith Burns - Dow Jones Newswires, The Wall Street Journal, May 21, 2004
SEC May Bend On U.S. Stock Market Reform Proposals
By: Staff Writer - Reuters, Forbes.com, May 21, 2004
Sarbox Costs ''Unpredictable,'' Still Rising - As A Result Of New Governance And Disclosure Reforms, 21 Percent Of Public Companies Who Responded To A Recent Survey Are Considering Going Private
By: Stephen Taub. CFO.com, May 20, 2004
U.S. SEC Sees Fund Reform Completed By Early Fall
By: Staff Writer - Reuters, Forbes.com, May 20, 2004
Grasso Pay Scandal Prompts Sec To Consider Rule Changes
By: Judith Burns - Dow Jones, Quicken.com, May 20, 2004
Splitting Top Jobs Overrated, Says Study - Examination Of Ceo Turnover Also Finds That ''Outsiders'' Delivered Poorer Returns And Were More Likely To Depart Involuntarily Than Chief Executives Who Were Promoted From Within
By: Stephen Taub, CFO.com, May 19, 2004
U.S. Corporate Compliance Costs Keep Rising-Study
By: Staff Writer - Reuters, Forbes.com, May 18, 2004
US SEC Should Broaden "Opt-Out" Rule
By: Kevin Drawbaugh, Reuters, May 18, 2004
Setting Revenue Recognition Standards - Fasb's And Iasb's Basic Guide For Recognizing Revenue Will Start With The Fair Value Of An Asset Or A Liability
By: Stephen Taub, CFO.com, May 17, 2004
Case Expands Type Of Lies Prosecutors Will Pursue
By: Alex Berenson, NYTimes.com, May 17, 2004
Litigation Let-Up: The harsh spotlight may be doing its job: Fewer class-action lawsuits related to federal securities law are getting filed, a new study published today shows.
Compiled by Gene Colter, with contributions from Jed Horowitz and Henny Sender, Wall Street Journal, May 14, 2004
House Bill Would Impede FASB - The Legislation Would Mandate An SEC Impact Study, And It Would Require Companies To Expense Only Stock Options Granted To The Five Highest-Paid Officers
By: Stephen Taub. CFO.com, May 14, 2004
New NYSE Ad Campaign Touts New Leadership, Changes
By: Javier David. Forbes.com, May 13, 2004
US SEC Extends Market-Structure Comment Deadline
Reuters, May 13, 2004
Sarbanes-Oxley And Health Plans - The Structure Of Employee Health Plans Often Obscures The View Of Benefit Costs And Internal Controls That The Sarbanes-Oxley Act Demands
By: David M. Katz. CFO.com, May 13, 2004
NASD Sets Inquiry On Mutual Fund Costs, Marketing
By: Staff Writer - Reuters, Forbes.com, May 12, 2004
SEC Chairman Defies Big Companies By Pressing Forward With Reforms
By: Floyd Norris. SmartPros.com, May 11, 2004
GAO Urges SEC Action On Exchange Listing Standards
Forbes.com, May 11, 2004
Lifting The Lid: Investor Activism Rises
By: Brendan Intindola. Reuters, May 8, 2004
S.E.C. Feels Pressure To Weaken Some Rules
By: Stephen Labaton. NYTimes.com, May 10, 2004
Class Action Securities Fraud Settlements Are Higher When Institutional Investors Are Lead Plaintiffs, Finds Cornerstone Research
BusinessWire, May 10, 2004
Sen. Shelby Warns Lawmakers: Leave Options Issue
Forbes.com, May 6, 2004
Investors Win Dollars 3.1bn In Class-Action Suits
By: Deborah Brewster. Financial Times, May 5, 2004
Trials And Tabulations - Shareholders, Insurers Cover Some Executives' L egal Fees
By: Carrie Johnson and Ben White. WashingtonPost.com, May 5, 2004
Enforcement Chief Says SEC Penalties Growing Harm To Shareholders Affects Size
By: Carrie Johnson. WashingtonPost.com, May 5, 2004
Events May Signal Change In Stock Offerings
By: Ben White. WashingtonPost.com, May 4, 2004
NASD Backs $10 Mln Project To Educate Investors
By: Mark Wilkinson. Forbes.com, May 4, 2004
Institutional Shareholder Services Ranks Top 50 Plaintiffs' Law Firms; Securities Class Action Services Releases 'SCAS 50'
PR Newswire, May 4, 2004
Three More Companies Split Top Jobs - Separating The Roles Of The Chairman And Chief Executive Officer Remains More Common At Small- Caps Than At Larger Companies
By: Stephen Taub. CFO.com, May 3, 2004
It's Better (And Worse) Than You Think - Nearly Half Of The Finance Executives We Surveyed Report That They Still Feel Pressure From Their Superiors To Use Aggressive Accounting 2004
GE Faces $30m Governance Bill
By: Dan Roberts. FinancialTimes.com, April 29, 2004
Pension Crisis Prompting Changes To Company Retirement Plans
AccountingWEb.com, April 28, 2004
Loophole Limits Independence - Dozens Of Firms Use Exemption That Allows Them To Avoid Rules Mandating Board Structure
By: Deborah Solomon. The Wall Street Journal, April 28, 2004
U.S. SEC Proposal To Register Hedge Funds Coming
Reuters, April 28, 2004
US SEC Clears New Net-Capital Rules For Brokerages
By: Kevin Drawbaugh. Reuters, April 28, 2004
Keys To Minimizing Risk In Securities Class Action Storm
By: Paul R. Bessette and Steven S. Kaufhold. The Recorder, April 28, 2004, Wednesday
Mutual Fund Investors Appear Unworried
NYTimes.com, April 27, 2004
Fighting Fraud or Whistling Dixie?
Alexei Oreskovic. Law.com, April 26, 2004
NASD To Review Stock Ratings
Forbes.com, April 26, 2004
Analyze This: Research Is Fuzzier Than Ever - A Year After Firms' Settlement, NASD Is Launching Inquiry Into How Ratings Are Applied
By: Susanne Craig and Ann Davis. The Wall Street Journal, April 26, 2004
US Senator Will Defer, For Now, To SEC On Funds
Reuters, April 23, 2004
Oxley: Congress Belongs In Stock Option Debate
By: Staff Writer, AccountingWeb.com, April 22, 2004
MSRB Chief Says Muni Dealers To Face Enforcement
By: Staff Writer - Reuters, Forbes.com, April 22, 2004
Scope Of Fast-Moving NYSE Revamp Broadens - Sources
By: Kevin Drawbaugh and Javier David - Reuters, Forbes.com, April 22, 2004
SEC Putting Loopholes In 'Hard Close' Rule?
By: Kevin Drawbaugh, Reuters, April 22, 2004
Achieving Corporate Ethics Standards A Gradual, Deliberate Process Within U.S. Companies
By: Staff Writer, AccountingWeb.com, April 21, 2004
SEC Chief Stresses Public Good Amid Market Revamp
By Kevin Drawbaugh - Reuters, Forbes.com, April 21, 2004
Analysis: New Plan Adds To Debate Over Role Of Investors In Board Elections
By: Neal Lipschutz, DowJones Newwires, April 21, 2004
SEC Brief In Worldcom Case Cites Analysts' Influence In Share Price
By: Gretchen Morgenson, The New York Times, April 20, 2004
KKR, Blackstone, Apollo Tap Individual Investors For First Time
By: Randy Whitestone and Brett Cole, Bloomberg.com, April 20, 2004
SEC Orders Market-Timing Disclosures - Very Simply, And None Too Soon: ''If You Disclose To One, You Disclose To All.''
By: Dave Cook. CFO.com, April 14, 2004
Board Cash Compensation Rising As Directorships Become More Demanding, Survey Respondents Anticipate Increasing Total Cash Compensation By An Average Of 17 Percent
By: Craig Schneider. CFO.com, April 14, 2004
SEC Proposes Tighter Rules On Shell Companies
Forbes.com, April 14, 2004
U.S. SEC Probes News-Boosted Option Grants-Sources
By: Kevin Drawbaugh. Forbes.com, April 13, 2004
ICI Backs SEC Proposal On Disclosure Of Fund Sales
Forbes.com, April 13, 2004
Executive Compensation Emerges As Number One Corporate Governance Issue
AccountingWeb.com, April 13, 2004
Spitzer's Office Adds $250 Million To State Coffers
AccountingWeb.com, April 13, 2004
KPMG Creates 404 Institute To Facilitate Financial Reporting Dialogue
AccountingWeb.com, April 13, 2004
Fund Industry Faces New Battle; More Than 100 Civil Suits Could Result In Huge Settlements
By: David Hoffman, Investment News, April 12, 2004
Watch The Hedgehogs
By: William Safire. NYTimes.com, April 12, 2004
NYSE Plans TV Advertising Campaign
By: Ben White. WashingtonPost.com, April 10, 2004
Senate Panel Asked To Give S.E.C. Proposals A Chance
NYTimes.com, April 9, 2004
Moving The Market: NYSE Panel Adds Fiorina, Greenberg
By: Kate Kelly. The Wall Street Journal, Wednesday, April 7, 2004
US SEC Eyes More Disclosure In Asset-Backed Market
By: Kevin Drawbaugh. Reuters.com, April 7, 2004
Big Shareholders Flex Muscles - Disney Fracas Encourages Calls For Change
By: Jonathan Peterson. Philadelphia Inquirer, April 6, 2004
DaimlerChrysler First To ''Opt Out''
By: Stephen Taub. CFO.com, April 6, 2004
Is Your Retirement Plan Gouging You On Fees?
By: John Wasik. Bloomberg.com, April 5, 2004
When Funds Can't Be Judged By Their Name
By: Annette Varnier. ChristianScienceMonitor.com, April 5, 2004
Despite 2 Mistrials, Prosecutors Rack Up White-Collar Victories
By: Alex Berenson. NYTimes.com, April 4, 2004
Firms Out Front In Picking Directors; Some Widen Role Of Shareholders Ahead Of SEC
By: Andrew Countryman. Chicago Tribune, April 4, 2004 Sunday
SEC: Toothless No More?
By: Shannon Zimmerman. TheMotleyFool.com, April 2, 2004
Investor Outrage Has Cooled -- For Now
By: Bill Virgin. Seattle Post-Intelligencer, April 1, 2004
The Cost Of Expensing Stock Options - FASB Decision Would Slash Earnings Of The Biggest Companies Significantly, According To S&P. Yet Employees Tend To Discount The Actual Value Of Option Grants By 30 Percent To 50 Percent, A Watson Wyatt Survey Finds
By: Stephen Taub. CFO.com, April 1, 2004
US SEC Wants Execs Dismissed In Probes, Experts Say
By: Kevin Drawbaugh. NYTimes, April 1, 2004
Big Securities Class Actions Keep Rising
By: David Derrara. Chicago Lawyer, April, 2004
This Year, More Boards Feel Pressure To Show Up
By: Patrick McGeehan. NYTimes.com, March 31, 2004
House Opposition To Expensing Of Options Increases - Bill Would Block Accounting Oversight Board's New Rule
By: Jackie Spinner. WashingtonPost.com, March 30, 2004
Boards Heeding Investor Activists; Success In Pressuring Firms Has Emboldened Big Shareholders. But Critics Say Meddling Can Create Problems
By: Jonathan Peterson. Los Angeles Times, March 29, 2004
Pension Funds Taking More Risk - The Recent Run-Up In Stock Prices Has Been Largely Offset By Low Interest Rates
By: Stephen Taub. CFO.com, March 29, 2004
Mutual Funds Cleanup Man, Bob Pozen, Has The Savvy To Do The Job
By: Chet Currier. The Salt Lake Tribune, March 29, 2004
Board To Issue New Stock - Options Mandate
NYTimes.com, March 28, 2004
For Too Many Execs, Stocks Lead To Bonds
By: Bill Decker. Daily Advertiser (Lafayette, LA), March 28, 2004
Been Robbed On A Stock? I.R.S. May Not Think So
By: Floyd Norris. NYTimes.com, March 26, 2004
NYSE Board Gets Flood Of Nominees
By: Andrew Countryman. MiamiHerald.com, March 26, 2004
New, Hard Numbers On Sarbanes Expenses - One Of The First Studies Of The Financial Impact Of Sarbanes-Oxley Shows A Sharp Rise In Audit Expenses
By: Stephen Taub. CFO.com, March 25, 2004
New Designs For Options Plans - About 40 Percent Of Companies In A New Study Either Eliminated Or Reduced Option Use, Trimmed Participation, Or Restructured Their Program
By: Stephen Taub. CFO.com, March 23, 2004
Execs Entitled To Coverage To Defend Civil Suit
By: Shannon P. Duffy. Law.com, March 23, 2004
Ruling Heightens Tension Between Auditor, Business
By: Professor Ted Pincus. Chicago Sun-Times, March 23, 2004
Public Funds Fail To File Class Action Suits
By: Jakema Lewis. Investment Management Weekly, March 22, 2004
Funds Trying To Dodge Accountability-SEC Official
Forbes.com, March 22, 2004
IPO Rule Change May Help Brokers Profit
NYTimes.com, March 22, 2004
The Insiders' Magic Way To Sell - SEC Investigates Securities Firms That Used Derivatives Contracts To Help Executives Trade Quietly
By: Randall Smith and Jesse Eisinger. The Wall Street Journal, March 19, 2004
SEC Gets Tough On Hindering Investigations
By: Kathleen Day. WashingtonPost.com, March 19, 2004
NEW SEC RULES TARGET FINANCIAL 'EVENTS' -- Companies Must Quickly Report Data That May Affect Their Financial Health; A Shareholder Activist Cheers The Move
By: Joel Rosenblatt. Daily Journal, March 18, 2004
Companies Not Ready For Faster Filing - Many U.S. Multinationals Are Still Not Fully Prepared To Meet New Deadlines For Closing Their Books
By: Stephen Taub. CFO.com, March 17, 2004
U.S. Lawmakers Back Fund Chairman Independence
By: John Poirier. Forbes.com, March 15, 2004
US Annual Reports Offer More Because Of Regulators
By: Arindam Nag. Reuters.com, March 15, 2004
Calpers Adopts Standards For Outside Fund Managers
Reuters.com, March 15, 2004
SEC Proposes Broadening Proxy Power To Pick Boards
By: Kathleen Day. WashingtonPost.com, March 14, 2004
Run Your Company - Shareholders Have The Right; Knowledge Provides The Power
By: Terence O'Hara and Nancy McKeon. WashingtonPost.com, March 14, 2004
Revising The Books Continues To Dog U.S. Companies
By: Arindam Nag. Reuters.com, March 13, 2004
Corporate Interests Widely Decry SEC's Plan On Proxy Reform; One Opponent Calls The Proposal, Focus Of Much Public Comment, 'An Extreme Overreaction'
By: Jonathan Peterson. Los Angeles Times, March 11, 2004
Wall Street, Companies It Covers, Agree on Honesty Policy
By: Ann Davis. The Wall Street Journal, March 11, 2004
SEC Debates Proxy Rule
By: Ron Orol. Daily Deal, March 11, 2004
SEC Mulls Options To Its Late Trade Order Rule
By: Susan Cornwell. Forbes.com, March 10, 2004
Options Beat-Options Expense Debate Eyes Incentives
By: Javier David. Forbes.com, March 10, 2004
Boards Bend Under Threat Of New SEC Rules
By: Joshua Chaffin and Adrian Michaels. FinancialTimes.com, March 10, 2004
SEC Rule Change To Speed Up Disclosure
By: Adrian Michaels. FinancialTimes.com, March 10, 2004
Unbiased Stock Data To Cost Wall Street Firms
By: Kathleen Day. WashingtonPost.com, March 9, 2004
Guilty Verdicts Give Executives A New Focus: Risk Of Prison
By: Alex Berenson. NYTimes.com, March 8, 2004
Wealthy Investors Turn Hedge Funds Into Growth Industry
By: Tom Walker. MiamiHerald.com, March 7, 2004
SEC Targets More Fortune 500 Names In Fraud Cases
Reuters.com, March 6, 2004
What Puts The CFO In The Middle Of Scandals?
By: Elliot Blair Smith. USAToday.com, March 5, 2004
The Rotten Apple Theory
By: Professor Robert B. Reich. TomPaine.com, March 4, 2004
SEC Head Says Changes Should Boost Trust
By: Marcy Gordon. Accounting.Smartpros.com, March 4, 2004
Targeting The Top In Corporate Crime - Prosecutors Are Working To Hold Former Executives Accountable
By: Jeffrey H. Birnbaum. WashingtonPost.com, March 3, 2004
Sarbox Adding Accountability, Say Execs Nearly Three-Fourths Of Respondents To A New Survey Say Their Company Has Established A Whistle-Blower Complaint Process
By: Stephen Taub. CFO.com, March 2, 2004
Scandal Resistant
By: Michael Bobelian. The American Lawyer, March 2004
Don't Expect Cost Reports On Statements
By: Mary Diebel. MSNBC.com, February 29, 2004
Lifting The Lid: The Buck Stops With Pension Plan Trustees
By: Herbert Lash. Reuters.com, February 29, 2004
Nasdaq Set To Clash With SEC On Rule Changes
By: Andrei Postelnicu. MSNBC.Com, February 29, 2004
Moving The Market: Nasdaq Aims For Less-Chaotic Closes
By: Peter A. McKay. The Wall Street Journal, February 27, 2004
The Odd Case Of The Investors Who Sue Themselves
By: John Oberdorfer. Financial Times, February 27, 2004
SEC Moves To Thwart Short-Term Traders
By: Deborah Brewster. FinancialTimes.com, February 26, 2004
SEC Delays Implementation Of Section 404 - The June 15 Deadline That Was Fast Approaching Has Been Pushed Back To November
By: Stephen Taub. CFO.com, February 26, 2004
Trade Reforms Go Up For Discussion
By: Thor Valdmanis. USAToday.com, February 26, 2004
Call For Limit To Legal Liability Among Auditors
By: David Wighton. FinancialTimes.com, February 25, 2004
Accounting Watchdog Sees CEO Pay Controls
Reuters, February 24, 2004
SEC To Seek Comment On Modernizing U.S. Markets
Quicken.com, February 24, 2004
Investor Ire
By: William P. Barrett. Forbes.com, February 24, 2004
The Fight For And Against Federalizing Class Actions
Pennsylvania Law Weekly, February 23, 2004
Stuck In The SAS 70s - As Sarbanes-Oxley Section 404 Meets Up With An Obscure Auditing Standard, Many Companies Are Thinking Hard About Offshoring Their Business Processes
By: Craig Schneider. CFO.com, February 23, 2004
IASB Rule To Require Stock Option Expensing
Forbes.com, February 19, 2004
Reuters Summit-U.S. Executive Pay Still Out Of Control-Experts
By: Bill Rigby. Forbes.com, February 18, 2004
Reuters Summit-U.S. Boards Have More Housecleaning To Do
Forbes.com, February 18, 2004
U.S. SEC To Consider Mutual Fund Quick-Trade Fee
Forbes.com, February 18, 2004
Reuters Summit-Accountants Urged To Play More Active Role
By: Arindam Nag. Forbes.com, February 18, 2004
Reuters Summit-Moore: NYSE Self-Governance Still Conflicted
By: Javier David. Forbes.com, February 18, 2004
IPO Activity Quickens Pace At Start Of Year - Unlike Frenzied 1990s, There Are Fewer Start-Ups Represented, More Diverse Industries Involved
By: Peter A. McKay. The Wall Street Journal, February 17, 2004
Mutual Funds Grab Cash From Investors With Barrage Of Fees
By: Mark Davis. HoustonChronicle.com, February 15, 2004
A 401(K) Picks A Mutual Fund. Who Gets A Perk?
By: Lynn O'Shaughnessy. NYTimes.com, February 15, 2004
When Does Edge Become Illegal? Study Finds Insider Sales Accelerate Before Bad Earnings Reports, Usually Before Stock Prices Fall. Smaller Investors Bear Brunt
By: Andrew Countryman. AkronBeacon Journal, February 15, 2004
Survey: Section 404 Could Cost Big Companies $4.6 Million Or More
WebCPA.com, February 12, 2004
SEC Is Poised To Weigh Changes To Stock Markets' Fees, Quotes
By: Deborah Solomon and Kate Kelly. The Wall Street Journal, February 12, 2004
SEC Votes For Clearer Mutual Fund Cost Information
AccountingWeb.com, February 12, 2004
Lawmakers Hit SEC Independent Fund Chair Proposal
Reuters, February 11, 2004
COMPANIES THE AMERICAS: PCAOB Debate Threatens To Delay Controls
By: Adrian Michaels. FTimes.com, February 11, 2004
Directors Work Harder In U.S. But Not Europe-Study
Forbes.com, February 10, 2004
Time For Outside Regulators At The NYSE
By: Peter J. Solomon. WashingtonPost.com, February 9, 2004
Will Power Shift?
By: R. Daniel Witschey Jr. Houston Business Journal, February 9, 2004
Congress, SEC Vie To Reform U.S. Mutual Funds
By: Kevin Drawbaugh and Susan Cornwell. Forbes.com, February 9, 2004
Why CEOS Should Hope Martha Walks
By: Jeremy Kahn, Fortune. February 9, 2004
Three Of The Largest Securities Class Action Settlements Of All Time Occurred In 2003, Reports NERA Economic Consulting
Business Wire, February 6, 2004
Regulator Delays Overhaul Bid
By: Peter A. McKay. The Wall Street Journal, February 6, 2004
Thain Pushes NYSE's Buttons
Forbes.com, February 4, 2004
Specialists Factor In Insiders
By: Tony Cooke. The Wall Street Journal, February 4, 2004
US Regulators To Set Rules Blocking Enron-Like Deals
Forbes.com, February 4, 2004
Cheese It, The States! Corporate Wrong-Doers Are Finding That State Cops Have Become More Aggressive Than The Feds
By: Tim Reason. CFO.com, February 2, 2004
Coming Soon: Stock Trades In Baghdad
By: Stacy A. Teicher. The Christian Science Monitor, February 02, 2004
Full Disclosure
By: Thomas Brom. Daily Journal - California Lawyer Article, February 01, 2004
SEC Staff To Back New Curb On Fees Paid For Broker Help - Payments For Guiding Clients Couldn't Go Up
By: Carrie Johnson. WashingtonPost.com, January 31, 2004
N.Y.S.E. Chief Said To Seek Electronic Shift
By: Landon Thomas Jr., The New York Times. January 30, 2004
Wall Street Says Planned Limits On Ipo Trading Are Too Tight
By: Raymond Hennessey, The Wall Street Journal. January 29, 2004
Lifting The Lid: Funds' Plan May Kill Independent Research
By: Herbert Lash, Reuters. January 29, 2004
Traders On The NYSE Risk Clash With Sec, January 26, 2004
By: Andrei Postelnicu, Financial Times. January 26, 2004
Mutual Funds Hit By Slew Of Lawsuits.
By: Ellen Kelleher, Financial Times. January 26, 2004
Sox Internal Control Clock Is Ticking - But A Survey Suggests Chief Executives Are Being Stiff-Necked About Compliance With The Provision On Internal Controls.
By: Stephen Taub, CFOMagazine.com. January 26, 2004
NASD Proposes Faster Corporate Bond Data
By John Poirier - Reuters, Forbes.com. January 26, 2004
Scorecard In Funds Scandal
By: Kathleen Pender, San Francisco Chronicle. January 25, 2004
Too Much Regulation? Corporate Bosses Sing The Sarbanes-Oxley Blues
By: Floyd Norris. NYTimes.com, January 23, 2004
U.S. Securities and Exchange Commission (SEC) Goes After Deadbeats; Considers New Fee Structure
AccountingWeb.com, January 23, 2004
Lifting The Lid: When Mutual Funds Are Not So Mutual
By: Mark McSherry. Forbes.com, January 22, 2004
New AGM Rules 'Too Late For This Year'
By: Adrian Michaels. FinancialTimes.com, January 20, 2004
Fund Fees Vital But Need Review, Lipper Says
By: Brooke A. Masters. WashingtonPost.com, January 20, 2004
More Investors Plant Cash In Hedge Funds
By: Adam Shell. USAToday.com, January 20, 2004
Big Investors Turn To Lawsuits To Get Changes In Governance
By: Andrew Countryman. Chicago Tribune, January 18, 2004
US CEO Lobby Doubts SEC Authority On Proxy Access
By: Kevin Drawbaugh. Forbes.com, January 16, 2004
SEC Proposes Controversial Fund Rules
WebCPA.com, January 16, 2004
United States Lawmaker Urges Congress To Act On Mutual Funds
Forbes.com, January 15, 2004
Study Rebuts Firms' View On Cost Of U.S. Class-Action Suits
By: Jonathan D. Glater. International Herald Tribune, January 15, 2004
S.E.C. Has Found Payoffs In Sales Of Mutual Funds
By: Stephen Labaton. NYTimes.com, January 14, 2004
Board Of NYSE Could Be Liable Over Grasso Pay
By: Ellen Kelleher. FinancialTimes.com, January 14, 2004
Pensions Join Class-Action Suits At Faster Pace, Lending Clout
By: Arden Dale. The Wall Street Journal, January 14, 2004
Mutual Fund Firms Ask Kroll To Probe For Improper Trading
By: Mark McSherry. Forbes.com, January 13, 2004
NYSE Plays Down Impact Of Nasdaq Dual Listings
Forbes.com, January 13, 2004
Financial Restatements Rose To Record In 2003, Study Says
By: Jonathan D. Glater. NYTimes.com, January 13, 2004
IPO Market May Face Restriction - Proposal Would Prohibit 'Market Orders' For Shares For One Day After Offering
By: Raymond Hennessey and Phyllis Plitch. The Wall Street Journal, January 12, 2004
Pressure Builds To Cut Fund Fees
By: Carla Fried. NYTimes.com, January 11, 2004
Spitzer, SEC Open Probes Into Grasso's Pay - NYSE's Former Chief Also Took $10 Million Retirement Payment; Ketchum Comes In On A Mission
By: Susanne Craig, Kate Kelly and Deborah Solomon. The Wall Street Journal, January 9, 2004
Nasdaq's Listing Plan Has Skeptics
By: Peter A. McKay. The Wall Street Journal, January 9, 2004
Trials, Trials, Trials, And Then What?
By: Gretchen Morgenson. NYTimes.com, January 8, 2004
Getting On Board The Google IPO
The National Business Review, January 8, 2004
Rules To Target Bigger Hedge Funds
By: Deborah Brewster. FinancialTimes.com, January 8, 2004
Companies Seek To Recover Pay From Ex-CEOs
By: Joann S. Lublin. The Wall Street Journal, | | |
