|  | | 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, | | |