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Securities News Archive

2009

12/14/09	Corporate Secretaries Society Comments on SEC Proposals to Improve Proxy Notice and Access
12/14/09	Khuzami Discusses Structural Changes in Enforcement Division
12/14/09	PCAOB's Annual and Special Reporting Rules Effective at Year-End
12/4/09	SEC Official Addresses Role of Supervisors and Oversight of Back-Office Personnel
12/4/09	SEC Official Provides Feedback on MD&A Disclosure
12/4/09	Hedge Fund Industry Supports CFTC Proposal to Create a New Account Class
11/25/09	Corporation Finance Staff Discusses Status of Proxy Initiatives
11/24/09	Government Lawyers Argue for Expanded Inquiry Notice Definition
11/24/09	SEC Requests Changes in House Draft Derivatives Legislation to Prevent Regulatory Arbitrage
11/20/09	Panel Calls for Lawmakers to Adopt Better Resolution Mechanism
11/20/09	Bank Must Explain Changes to Credit Card Securitization Trust After Acquisition of Failed Bank's Assets
11/09/09	Schapiro Discusses SECâ€™s Proxy Reform Initiatives
11/09/09	Industry Supports Draft Legislation Regulating Advisers to Hedge and Private Equity Funds
10/30/09	Staff Modifies Approach to No-Action Letters Relating to Risk and CEO Succession
10/30/09	SEC Proposes Rules to Improve Transparency Surrounding Dark Pools
10/30/09	Smartphone Maker Required to Discuss Reliance on Technology Licenses
10/11/09	Commenters Discuss Proposed Form N-MFP for Money Market Funds
10/11/09	PCAOB Finds Mixed Results in Review of First Year Revised Internal Control Auditing Standard
10/02/09	PLI Panelists Review Policy Changes in Enforcement
10/02/09	State of Mind Not Relevant to Safe Harbor Determination
10/02/09	Derivatives Industry Accepts EU Regulation in Principle
9/14/09	SEC/CFTC Harmonization Panel Urges Continued Use of Derivatives
9/14/09	Big Names Come Back to Resurgent IPO Market
9/14/09	8th Circuit: Complaint Failed to Satisfy PSLRA Pleading Requirements
8/31/09	Major Law Firms Oppose SEC Proposed Shareholder Access Rule
8/21/09	SEC Reopens Comment Period on Alternative Uptick Rule
8/21/09	Accounting Firms Recommend Improvements to Investment Adviser Custody Proposal
8/21/09	Staff Clarifies Position in 2001 No-Action Letter
8/8/09	U.K. Regulator Rejects Idea of Using Accounting Standards to Promote Stability
8/4/09	Financial Services and Agriculture Committee Chairs Reach Agreement in Principle on Derivatives Legislation
8/4/09	PCAOB Adopts Engagement Quality Review Standard
7/26/09	SEC Approves Proposals on Proxy Disclosure and "Say on Pay" for TARP Participants
7/26/09	U.K. Official Says Draft Directive on Alternative Investment Fund Managers Is Flawed
7/16/09	Board Member and Enforcement Director Discuss PCAOB Developments
7/7/09	SEC Approves NYSE Rule 452 Amendment to Eliminate Broker Discretionary Voting
7/7/09	Registration of Motorcycle ABS Must Detail Use of Fed's TALF Emergency Lending Program
7/1/09	Conference Panelists Review Risk Management
7/1/09	SEC Approves Issuance of Money Market Fund Proposals, Seeks Feedback on Floating NAV Concept
6/22/09	Staff Accounting Bulletin Conforms Guidance with FASB Pronouncements
6/22/09	SEC Charges Hedge Fund Manager in First Insider Trading Case Involving Credit Default Swaps
6/18/09	White Paper - The Obama Administration's Proposal to Reform the U.S. Financial Regulatory System
6/16/09	Obama Administration Proposes Legislation Mandating Say-on-Pay and Independent Compensation Committees
6/16/09	German and U.K. Securities Regulators to Extend Prohibitions on Naked Short Selling
6/5/09	Acting Director of Corporation Finance Reviews Likely New Disclosure Rules
6/5/09	Supreme Court Will Decide Constitutionality of PCAOB
6/5/09	Legislation Requiring SEC Registration of Hedge Fund Advisers Will be Narrowly Crafted
5/22/09	SEC Votes to Issue New Proxy Access Proposals
5/22/09	New Investor Asset Custody Rules Proposed
5/22/09	White Paper - Credit Card Reform: An Analysis of the Credit CARD Act
5/20/09	White Paper - Congress Passes First Financial Regulation Reforms of 2009: Expands Scope and Funding of Fraud Enforcement
5/15/09	Paredes Urges Caution in Regulatory Response to Market Events
5/15/09	Fourth Circuit Reverses Dismissal of Fund Fraud Action
5/6/09	Schapiro Outlines Priorities in Rulemaking
5/6/09	PCAOB Issues Concept Release on Audit Confirmations
4/29/09	Aguilar Discusses Regulatory Reform and Independent Directors
4/27/09	Donohue Expresses Concerns About Investment Companies' Use of Derivatives
4/27/09	Standing Advisory Group Discusses Engagement Quality Review, Fair Value and Going Concern
4/13/09	Kucinich Asks SEC About Bonus Materiality and Lack of Disclosure
4/13/09	Senate Bill Would Direct SEC to Reinstate the Uptick Rule
4/13/09	Evidence Failed to Show Acceptance of Duty of Confidentiality
3/20/09	White Paper - Madoff and Other Fraudulent Schemes: Tax and Planning Implications
3/20/09	Richards Cautions Against Reductions in Compliance Resources
3/11/09	PCAOB Issues Guidance on Registration of Broker-Dealer Auditors
3/11/09	SEC Updates Securities Act Forms Guidance
3/9/09	D.C. Bar Program Reviews SEC's Cross Border Transaction Rules
3/4/09	SEC Grants Relief in Connection With Term Asset-Backed Securities Loans
3/4/09	Senators McCain and Dorgan Call for Select Committee to Investigate Financial Crisis
2/25/09	Updated White Paper - Stimulus Act Imposes Corporate Governance and Compensation Mandates
2/18/09	PCAOB Issues Guidance on Audits of Internal Control at Smaller Companies
2/18/09	Staff Grants Relief to Advisers in Wake of Government Intervention
2/13/09	Stimulus Act Imposes Corporate Governance and Compensation Mandates
2/11/09	Enforcement Division Reports on Past Year's Activities
2/11/09	SEC Chair Schapiro Backs Off From IFRS Roadmap
2/9/09	Senate Hearings Chart Way Forward on Financial Regulatory Reform
2/4/09	Briefing Paper - SEC Credit Rating Reforms Differentiate Asset-Backed Securities Products
2/3/09	IASB, FASB Name Financial Crisis Advisory Group Members
2/3/09	SEC Official Discusses Future Disclosure Plans
1/25/09	Hedge Fund Industry Opposes FINRA Rule on Circulation of Rumors
1/25/09	Aguilar Calls for End to Penalty Preauthorization Pilot Program
1/21/09	Bank May Omit TARP-Related Executive Pay Reform Proposal from Proxy Materials
1/14/09	Commenters Seek Modification to SEC's Interim Final Temporary Rule for Funds
1/14/09	SEC Approves Interactive Data for Filings
1/8/09	House Committee Questions SEC Inspector General About Madoff Scandal
1/8/09	SEC Issues Report and Recommendations on Mark-to-Market Accounting
1/5/09	Fed Governor Views Enhanced Counterparty Credit Risk Management as Key to Securitization Reform

2008

12/30/08	PCAOB Issues Audit Practice Alert on Economic Crisis
12/30/08	IASB Members Say Fair Value Not to Blame for Financial Crisis
12/22/08	Credit Rating Agencies Face New Disclosure Rules
12/22/08	Hedge Fund Seminar Looks at Future Regulation of Industry
12/22/08	Investment Management Director Reviews Accomplishments
12/12/08	Speakers Focus on IFRS at SEC Institute Conference
12/11/08	White Paper - Fraud Litigation After Dura, Stoneridge and Tellabs: Swimming Upstream?
12/9/08	Cox Calls for Government Exit Strategy From Market Intervention
12/4/08	Auction Rate Securities Dealers Ask Treasury for Liquidity Facility under EESA
12/4/08	Conference Panelists Review Enforcement and Litigation Trends
11/24/08	G20 Sets Forth Goal of Massive Global Reform of Financial Regulation under a Single Set of Accounting Standards
11/20/08	Briefing Paper - Financial Regulation Reform: What to Expect in the 111th Congress
11/20/08	Cox Praises International Cooperation in SEC's Enforcement Efforts
11/13/08	White Paper - The Other Bailout: How the Fed is Financing the Financiers, and Related SEC Disclosure
11/13/08	Standing Advisory Group Discusses Auditing Issues During Economic Crisis
11/3/08	SEC Adopts Mandatory EDGAR Filing for Investment Company Applications
11/3/08	Code of Best Practices for Sovereign Wealth Funds Adopted
10/28/08	Cox Says Role of Independent SEC Remains Critical
10/28/08	PCAOB Proposes Seven New Auditing Standards on Risk Assessment
10/21/08	SEC Hosts 21st Century Disclosure Initiative Roundtable
10/21/08	IOSCO Head Discusses Virtual Super Regulation
10/15/08	Staff Updates 1934 Act Interpretive Guidance
10/13/08	SEC, FASB Issue Clarifications on Fair Value Accounting
10/7/08	PCAOB Member Argues Against IFRS Capitulation
10/7/08	IASB Proposal on Financial Statement Presentation Receives Cool Reception
9/30/08	Panelists Discuss Trends in Compensation Disclosure
9/25/08	House Passes Securities Act of 2008 Enhancing SEC Enforcement Powers
9/23/08	Briefing Paper - Market Crisis Focus on Short Selling: SEC Adopts Rules to Curb Abusive Practices (Revised 9-23-08)
9/16/08	Industry Concerned with Working Group's Valuation Recommendations for Fund Managers
9/12/08	Key Senators Dismayed by DOL's Narrow Application of Sarbanes-Oxley Act's Whistleblower Provision
9/12/08	FERC, Petroleum Institute Suggest Changes to Proposed Oil and Gas Reporting Requirements
9/5/08	Commission Adopts Amendments to Cross-Border Tender Offer Rules
9/5/08	SEC to Seek Comment on Roadmap for Mandatory IFRS
9/2/08	SEC Adopts Proposals to Modernize Rules Governing Foreign Private Issuers
9/2/08	Federal Appeals Court Upholds Constitutionality of PCAOB
8/22/08	Tax Bills Opposed by Hedge Fund Group Do Not Advance as Congress Recesses
8/22/08	IASB Will Propose Global Standard for Fair Value Converged with FASB and U.S. GAAP
8/20/08	Vanguard Urges SEC to Keep Rule 2a-7 Reliance on Credit Ratings
8/20/08	SROs Propose Consolidation of Insider Trading Surveillance Duties
8/14/08	Hedge Fund Groups File Amicus Briefs in Federal Court Appeal of 13(d) Case
8/14/08	PCAOB Adopts Rules Governing Succession to Predecessor Firm Registration
8/11/08	Fed Issues Final Home Mortgage Amendments
8/7/08	White Paper - SEC Guidance on Use of Company Websites
7/29/08	Commenters Offer Differing Views on Timing and Benefits of Interactive Data Proposal
7/29/08	SEC Proposes to Alter References to Credit Rating Agencies in Its Rules and Forms
7/28/08	White Paper - Congress Overhauls Regulatory Regime for Fannie Mae and Freddie Mac
7/21/08	Hedge Fund Group Opposes Deferred Compensation Provisions in Energy and Tax Extenders Bill
7/21/08	Conference Panelists Review Issues Affecting Audit Committees
7/17/08	SEC Advisory Committee on Improvements to Financial Reporting Issues Final Report
7/14/08	Key Senators Assert Oversight of SEC-Fed Pact on Investment Banks
7/14/08	SEC Approves Proposals on Foreign Broker-Dealers
7/8/08	SEC Commissioner Designate Paredes Charts Middle Course on Hedge Fund Regulation
7/7/08	IPOs Still Quiet Amid Broader Market Turmoil
6/30/08	Legal Bulletin Clarifies Registration Exemption for Reorganizations
6/26/08	SEC Proposes to Alter References to Credit Rating Agencies in Its Rules and Forms
6/26/08	PCAOB Adopts Annual and Special Reporting Framework for Registered Public Accounting Firms
6/18/08	Division of Corporation Finance Describes Filing Review Process
6/16/08	Cox Highlights Benefits of Global Financial Reporting Standards
6/16/08	SEC Has International Enforcement Abilities Regarding Sovereign Wealth Funds
6/11/08	SEC Institute Hosts Discussion on PCAOB Developments and SEC Accounting Topics
6/10/08	FSA Director Reaffirms Efficacy of U.K.'s Regulation of Hedge Fund Managers
6/10/08	5th Circuit: No Section 13(d) Money Damages Remedy for Issuers
6/2/08	Intertwining of Bank and Securities Activities Strains Risk Management
6/2/08	Corporation Finance Official Speaks About Recent Developments at SEC Institute
5/28/08	PCAOB Officials Speak at Conference on Accountants' Liability
5/23/08	White Reviews Staff's Top Global Initiatives at PLI Conference
5/20/08	White Paper - Act Removes Enron Loophole and Reforms Electronic Energy Markets
5/20/08	Cross-Border Tender Offer Changes Proposed
5/16/08	President's Working Group Committees Issue Best Practices for Hedge Fund Managers and Investors
5/14/08	Senate Banking Committee Leaders Urge More Funding for SEC in Light of Subprime Crisis
5/9/08	PCAOB Adopts Ethics and Independence Rule
5/9/08	Commenters Oppose U.S. Trading Limit for Foreign Issuer Exemption
5/6/08	Financial Stability Forum Sets Out Broad Reform of Financial Regulation
5/6/08	NY Fed President Calls for Broad Reform of Securitization Process
5/5/08	Casey Discusses Anti-Money Laundering Initiatives
5/5/08	D.C. Bar Hosts Subprime Summit
4/22/08	Enforcement Director Reviews Division's Priorities
4/18/08	President's Working Group Outlines Principles for Private Pools of Capital
4/18/08	Claimed Government Misconduct Not a Bar to Prosecution
4/07/08	Cox Testifies on JPMorgan/Bear Stearns Merger
3/28/08	Treasury Proposes Massive Overhaul of US Financial Services Regulation
3/26/08	White Paper - SEC Regulation of Investment Advisers and Brokers in the Brave New World
3/19/08	3rd Circuit: SLUSA No Bar to Aiding, Abetting Claims by Trust
3/13/08	Donohue Addresses Developments in Hedge Fund Regulation
3/13/08	SEC Proposes Measures on ETFs, Naked Short Sales and Privacy
2/25/08	Corporate Governance Panel Discusses Compensation Disclosure and Shareholder Proposals
2/22/08	IRS Revenue Ruling Impacts Executive Compensation Plans and Disclosure
2/22/08	SEC Proposes Amendments Affecting Foreign Private Issuers
2/14/08	Cox Outlines Broad Agenda for 2008
2/14/08	Atkins Calls for Open Jacket Policy in Enforcement
2/1/08	Foreign Issuers May File Without Reconciliation Before Effective Date
2/1/08	Consumer Groups Seek Additional Money Market Fund Disclosure
1/29/08	7th Circuit Reaches Same Result in Tellabs
1/18/08	SEC Claim Against Hedge Fund Manager for PIPEs Registration Violation Fails
1/18/08	Staff Issues Guidance on Modified Subprime Adjustable Rate Mortgages
1/15/08	White Paper - Supreme Court Rejects Scheme Liability under Rule 10b-5
1/7/08	RAND Corp. Issues Report on Investment Advisers and Broker-Dealers
1/2/08	Staff Issues Accounting Bulletin on Estimating Term of Share Options

2007

12/20/07	Commission Approves PCAOB's 2008 Budget
12/20/07	SEC Expands Form S-3, F-3 Eligibility, Mandates Form D Electronic Filing
12/17/07	Conference Panelists Review Internal Investigation Procedures
12/14/07	Commission Considers Changes to Form D, S-3
11/30/07	SEC Codifies Status Quo on Director Elections
11/30/07	SEC Proposes Summary Fund Prospectus, Adopts Small Business Rules
11/19/07	White Paper - U.S. Implementation of the Basel II Accord
11/19/07	SEC Approves IFRS Without GAAP Reconciliation
11/07/07	Senate Subcommittee Witnesses Urge SEC to Issue Guidance on Climate Change Disclosure
11/05/07	PCAOB Issues Guidance for Auditors of Smaller Public Companies
11/2/07	White Paper - Markets in Financial Instruments Directive (MiFID): Broad Reforms to EU Financial Services Regulation
10/25/07	Elements of Federal Securities Law, by James Hamilton, J.D., LL.M - New Edition Available Here
10/22/07	Cox Applauds Successes in Executive Compensation Disclosure
10/22/07	SEC Updates FAQ on Internal Control Over Financial Reporting
10/02/07	White Paper - SEC-Federal Reserve Board Regulation R: The Gramm-Leach-Bliley Bank Broker Exception Rules
10/01/07	SEC Adopts Regulation R to Implement Bank Broker Provisions
9/25/07	Atkins Criticizes Implementation of Regulation NMS
9/25/07	Commission Charges Firms, Partners with PCAOB Registration Violations
09/11/07	International Businesses Urge Supreme Court to Reject Scheme Liability
09/11/07	Buyers of Claims in Distressed Debt Market Not Subject to Equitable Subordination in Enron Bankruptcy
09/11/07	5th Circuit Interprets Fraud Pleading Ruling
08/31/07	Transatlantic Group Supports Elimination of U.S. GAAP Reconciliation Requirement
08/31/07	Former SEC Chairs Hills and Pitt Urge Supreme Court to Reject Scheme Liability
08/31/07	U.S. Solicitor General Says Scheme Liability is Counter to Congressional Intent
08/28/07	Act Gives SEC, PCAOB Time to Reform Internal Control Mandates
08/28/07	Professor Submits First Comments on IFRS Use by U.S. Issuers
08/28/07	White Updates Corporation Finance Initiatives
08/21/07	Chief Accountant Updates Advice on Auditor Independence
08/21/07	Comments Sought on IFRS Use by U.S. Issuers
08/21/07	Forward-Looking Statements Not Protected
08/15/07	SEC Responds to Congressional Inquiry About FAS 140
08/15/07	Hedge Fund Newsletter Available
08/15/07	CCH Analyst's Blog Provides In-Depth Securities Law Coverage
08/09/07	Advisory Committee on Improvements to Financial Reporting Convenes First Meeting
08/09/07	House Leaders Urge Supreme Court to Approve Scheme Liability in Securities Fraud Actions
08/09/07	Loss Causation Not Shown
08/04/08	Cox Seeks Accounting, Disclosure Improvements for Municipal Securities
08/04/08	SEC Issues Concept Release on IFRS and U.S. Companies
08/04/08	PCAOB Will Seek Comments on Auditor Communications, Tax Services
07/31/07	SEC Approves PCAOB's Auditing Standard No. 5
07/31/07	Some Fraud Claims Time-Barred
07/31/07	Charges Settled in Revenue Recognition Case
07/27/07	SEC Suspends Web Tool on State Sponsors of Terrorism
07/27/07	Cox Recommends Legislation to Improve Municipal Securities Market
07/27/07	SEC to Develop Proposal for Mutual Recognition of Foreign Exchanges and Brokers
07/24/07	Comment Period Closes on Proposed Definition of Significant Deficiency
07/24/07	Commission Seeks Injunctive Relief in Options Case
07/24/07	Comments Mixed on Auditing Standard No. 5
07/20/07	Rep. Frank Criticizes SEC's Web Site on State Sponsors of Terrorism
07/20/07	Accountant Suspended After Injunctions Entered
07/20/07	Broker Barred Following Unauthorized Trades
07/17/07	Campos Says Commercial Competition Drives Rules v. Principles Debate
07/17/07	Audit Firms Support AS5, While Others Find Faults
07/17/07	SEC Adopts Antifraud Rule for Hedge Fund Advisers
07/13/07	SEC Staff Issues Summary of Comments on IFRS-Based Filings
07/13/07	Former SEC and PCAOB Chairs Oppose Shareholder Vote on Executive Compensation
07/13/07	SEC Chief Accountant Guides Funds on Applying FIN 48 to NAV Calculations
07/10/07	SEC Announces Advisory Committee on Reporting Improvements
07/10/07	Conviction Did Not Require Showing of GAAP Violations
07/10/07	Court Finds Adviser Used Ponzi Scheme
07/06/07	SEC Requests Additional Comment on Audit Standard
07/06/07	SEC Proposes IFRS Acceptance Without GAAP Reconciliation
07/06/07	Campos Seeks to Harmonize NMS, EU's MiFID
07/03/07	SEC Official Reviews Examination Priorities
07/03/07	Casey Urges International Cooperation on the Development of XBRL Technology
07/03/07	Atkins Concerned That Mutual Recognition Discussion May Divert SEC from Near-Term Goals
06/27/07	Supreme Court Endorses Strict Pleading Standard for Private Securities Fraud Actions
06/27/07	Supreme Court Rules on Antitrust Preemption
06/27/07	Audit Committee Panelists Review Restatements, Corporate Crises
06/20/07	PLI Hosts Audit Committee Workshop
06/20/07	Pitt Gives Advice on Handling Corporate Crises
06/20/07	Compliance Week Panelists Discuss Congressional Investigations
06/20/07	Panelists Debate Proposal to Allow EU Issuers to Make U.S. Offerings Without Registration
06/08/07	Cox Calls for Repeal of Soft Dollars Safe Harbor Statute
06/08/07	Senate Subcommittee Examines Tax Policy on Stock Options
06/08/07	Cox Says Regulation R Should Be Adopted by July
06/01/07	Reform of the Sarbanes-Oxley Section 404 Internal Control Over Financial Reporting Regime
06/01/07	Hewitt Discusses Accounting Convergence, Complexity
06/01/07	PCAOB Adopts New Standard On Internal Control
06/01/07	SEC Adopts Guidance for Management On Internal Control Over Financial Reporting
06/01/07	SEC Charges Hewlett-Packard Concerning Director Resignations
05/25/07	Officials Provide Views of PCAOB at ALI-ABA Program
05/25/07	ALI-ABA Panelists Discuss Accountants' Liability
05/25/07	House Chair Seeks Information From Executive Compensation Consultants
05/18/07	White Reviews Problem Areas in Executive Compensation Disclosure
05/18/07	Panelists Discuss the SEC and the Accounting Profession
05/18/07	Firm Charged with Violations in Auction Sales
05/11/07	SEC Seeks Carve Out From Industrial Bank Holding Company Act
05/11/07	White Reviews Initiatives Affecting Foreign Issuers at PLI Conference
05/11/07	Steps for a Top-Down, Risk-Based Approach to Internal Controls Over Financial Accounting
05/11/07	Dodd-Shelby Amendment Gives SEC and PCAOB Time To Reform Internal Controls Mandates
05/11/07	PLI Panelists Review Developments in International Securities Markets
05/11/07	Guidance Available on Press Releases, Analyst Calls
05/04/07	Casey Discusses Harmonization of Regulatory Frameworks
05/04/07	Atkins Weighs In On U.S. Financial Competitiveness
05/04/07	Nazareth Calls For Reforms In Mutual Fund Disclosure
05/04/07	CFO Charged In Revenue Recognition Case
05/04/07	Proposed Definition of Material Weakness May Not Help Lower Internal Control Costs
05/04/07	Deputy Chief Accountant Discusses Standard-Setting, Independence and Inspections
04/27/07	House Passes Bill Requiring Shareholder Advisory Vote On Executive Compensation
04/27/07	Cox Discusses Fund Initiatives and Enforcement Policy
04/27/07	Deputy Chief Accountant Discusses Challenges of Principles-Base Accounting
04/27/07	Campos Sees Growing Interest in Mutual Recognition
04/27/07	SEC and PCAOB Chairs Testify on Section 404 Impact on Small Business
04/27/07	Mortgage Company CEO Caused Reporting Violations
04/27/07	Modified Dutch Auction May Proceed
04/20/07	Funds Ask for Additional Guidance on FIN 48
04/20/07	PCAOB Proposes Consistency Standard and Issues Concept Release on Tax Services
04/20/07	Richards Concerned About Inconsistencies in Deficiency Letters and the Law
04/20/07	Investment Management Director Outlines Priorities, Concerns
04/20/07	SEC, PCAOB Staff Will Revise Proposals on Internal Controls
04/20/07	Attorney Sanctioned in Options Backdating Case
04/13/07	White Suggests Phase-In Process for Ending IFRS/GAAP Reconciliation
04/13/07	SEC Official Stresses Importance of Economic Analysis
04/13/07	Fifth Circuit: Investment Banks Owed No Duty to Enron Shareholders
04/13/07	Audit Firm Charged with Independence Violations
04/13/07	Guidance Available on Press Releases, Analyst Calls
04/13/07	UCLA, NYC Bar to Host M&A Tax Program
04/06/07	SEC Chair Says CD&A Disclosure is Disappointing So Far
04/06/07	Thomsen Reviews Age Old Themes Involving Conflicts of Interest
04/06/07	Atkins Says SEC Must Be Responsive to Capital Markets Reports
04/06/07	Former Government Official Charged With Fraud
04/06/07	District Court: PCAOB is Constitutional
04/06/07	Former CFO Charged With Accounting Violations
03/30/07	Campos Says Foreign Trading Screen Proposal Possible This Year
03/30/07	Atkins Calls for Economic Justification for SEC Actions
03/30/07	SEC Approves FASB Accounting Support Fee
03/30/07	Accountant Sanctioned in Options Backdating Case
03/30/07	Company Treasurer Suspended in Connection with Inventory Reporting
03/30/07	House Committee Holds Hearing on Executive Pay Votes
03/23/07	Cox and Olsen Speak at Chamber Event on U.S. Capital Markets
03/23/07	House Financial Services Committee Holds Hearing on Advisory Votes on Executive Pay
03/23/07	Panelists Say Elimination of GAAP/IFRS Reconciliation Will Not Harm Capital Raising Process
03/23/07	Sirri Considers Cooperative Approach to Foreign Securities Trading
03/16/07	SEC Hosts Roundtable on International Financial Reporting Standards Roadmap
03/16/07	Roundtable Panelists Discuss Impact of IFRS on U.S. Investors
03/16/07	2nd Circuit Finds Primary Liability for Auditors Under Section 10(b)
03/16/07	Mortgage Firm Comptroller Suspended From Accounting Practice
03/16/07	Staff Grants Relief for Tender Offer to Address Backdated Options
03/16/07	Cox Discusses Plain English and the Role of Lawyers
03/09/07	Company May Exclude Shareholder Proposal on Compensation Report
03/09/07	New Book Explains Executive Compensation Reforms
03/09/07	Chief Accountant Encourages Market-Based Approach to Valuing Employee Stock Options
03/09/07	White Outlines Division's 2007 Agenda
03/02/07	Investment Management, Judicial and Accounting Developments Reviewed
03/02/07	Roundtable on Accounting Standards "Roadmap" Planned
03/02/07	PCAOB Hears Concerns About Dilution of Internal Control Standard
03/02/07	Conference Features Ethics Discussion and Corporation Finance Workshop
02/23/07	SEC Chairman Addresses Annual "SEC Speaks" Conference
02/23/07	Nazareth Offers Views on Hedge Funds, Derivatives and Systemic Risk
02/23/07	Conference Panelists Review Developments in Enforcement and Corporation Finance
02/23/07	Family Members Charged with Insider Trading
02/23/07	Mining Company's Statements, GAAP Violations Not Scienter
02/23/07	2nd Circuit Affirms Dismissal of Action Against Audit Firm
02/16/07	SEC Proposes Fund Data Tagging, Rating Agency Rules
02/16/07	D.C. Bar Panelists Discuss Repercussions of Options Backdating
02/16/07	CPA Suspended For Allegedly Falsifying Records, Filings
02/16/07	New Book Explains Executive Compensation Reforms
02/09/07	Pension Funds Criticize Amendments to Executive Compensation Rules
02/09/07	Campos Urges Companies To Consider Shareholder Advisory Votes on Executive Compensation
02/09/07	Guidance Offered on Compensation Disclosure
02/09/07	Cox Addresses SEC Disclosure Initiatives, Global Regulation
02/02/07	SEC Issues Guidance on Restatements for Option Grant Accounting Errors
02/02/07	Nazareth Addresses Evolution of Self-Regulation
02/02/07	DC Bar Panelists Discuss Options Backdating
02/02/07	SEC Answers Questions About Executive Compensation Disclosure
01/26/07	Corporation Finance Director Says SEC is Not Trying to Commandeer IFRS
01/26/07	Practising Law Institute Holds Conference on Corporate Governance
01/26/07	SEC Enforcement Officials Discuss Recent Developments
01/26/07	PLI to Host Annual "SEC Speaks" Program
01/19/07	Campos Says SOX is Not to Blame for Declining IPOs
01/19/07	Alamo Group Asks Congress to Halt PCAOB Internal Control Standard
01/19/07	Agencies Issue Final Statement on Complex Structured Finance Activities
01/19/07	Rep. Frank Pledges Legislation on Executive Compensation
01/12/07	Chief Economist Reviews The Nature of Shareholdings
01/12/07	SEC Posts Economic Papers on Fund Governance
01/12/07	PCAOB Proposes New Standard for Auditing Internal Controls
01/12/07	PCAOB Delays Tax Service Independence Rules
01/05/07	SEC Gives Funds More Time To Implement FIN 48
01/05/07	SEC Adopts Additional Executive Compensation Disclosure Amendments
01/05/07	Oxley, SEC Accountants Address SEC and PCAOB Developments
01/05/07	SEC Adopts Voluntary E-Proxy Notice, Delivery Rules

2006

12/22/06	SEC To Seek Comment On Guidance For Management Under Section 404
12/22/06	Corporation Finance Director and PCAOB Chair Speak at AICPA Conference
12/22/06	Accounting Firm Partner Disciplined in Connection With SPE Advice
12/22/06	Proxy Access Consideration Postponed
12/15/06	ABA Meeting Panelists Discuss Accounting, Internal Controls
12/15/06	Options Backdating Cases Strain Enforcement Division's Resources
12/15/06	Taub Reveals Results of Staff Review of Restatements
12/15/06	Investment Management Director Discusses Current Regulatory Challenges
12/15/06	Regulation M Exemptions Granted To Foreign Banks During Merger
12/08/06	PCAOB Approves 2007 Budget
12/08/06	ABA Meeting Features Dialogue With Director of Corporation Finance
12/08/06	Executive Compensation Disclosure An SEC Review Priority For 2007
12/08/06	Olsen Discusses Internal Controls and U.S. Competitiveness
12/01/06	Treasury Secretary Urges Principles-Based Accounting and Internal Controls Reform
12/01/06	Investment Management Director Discusses Current Regulatory Challenges
12/01/06	City Sanctioned For Fraudulent Municipal Bond Offerings
12/01/06	Claims of Improper Accounting By Restaurant Chain Dismissed
11/23/06	Incoming SEC Oversight Chair Will Focus on Executive Compensation and Hedge Funds
11/23/06	SEC and PCAOB Officials Address Accounting Standards
11/23/06	Officers, Directors of Retailer Settle Charges
11/23/06	Nazareth Previews Commission's Ambitious December Schedule
11/17/06	SEC Enforcement Director Reports On Options Backdating and Advocates Defined Process
11/17/06	Nazareth Outlines SEC's Recent Steps To Accommodate Foreign Issuers
11/17/06	White Discusses New Related Person Transactions Disclosure
11/17/06	PLI To Host Annual "SEC Speaks" Program
11/10/06	Gadziala Details Challenges Facing International Financial Institutions
11/10/06	New Investment Management Director Discusses Institutional Brokerage Practices
11/10/06	Industry Groups Opposed Additional Non-Executive Pay Disclosure
11/10/06	Press Releases Misleading, Officers "Control Persons"
11/03/06	Richards Discusses Compliance Processes and Programs
11/03/06	Olson Provides Keynote Address at NACD Conference
11/03/06	Gadziala Describes Examination Process
11/03/06	PCAOB Advises on Employee Stock Options
10/27/06	Atkins Advocates Tighter PCAOB Oversight
10/27/06	Sarbanes-Oxley Limitations Period Applied, No Inquiry Notice
10/27/06	Atkins Reviews Current International Initiatives
10/27/06	PCAOB Officials Review Developments At ALI-ABA Conference
10/20/06	House Passes Hedge Fund Study Measure
10/20/06	Nazareth and Beller Open ALI-ABA Sarbanes-Oxley Institute
10/20/06	Nazareth Outlines Regulator Concerns With Variable Annuities
10/20/06	SEC Official Reviews Developments In Identity Theft
10/13/06	Congress Ends Duopoly by Reforming Process for Designating Credit Rating Agencies
10/13/06	PCAOB's Chief Auditor Outlines 2007 Priorities
10/13/06	SEC's Municipal Securities Chief Calls for Review of Auction Rate Market
10/13/06	SEC Hosts Roundtable On Interactive Data
10/06/06	White Gives Advice on Disclosure Review Process
10/06/06	Donohue Says Staff is Working to Speed Up ETF Application Process
10/06/06	Senate Committee Holds Hearing on Executive Compensation
10/06/06	New Book Explains Executive Compensation Reforms
09/29/06	Chief Accountant Addresses Appropriate Accounting for Past Stock Option Errors
09/29/06	PLI Panelists Discuss Litigation and Enforcement Developments
09/29/06	SEC Issues Guidance on Quantifying Financial Statement Misstatements
09/29/06	Company May Not Omit Executive Compensation Proposal
09/22/06	White Encourages Dialogue Between Companies and Auditors
09/22/06	Former SEC Chairman Provides Tips on Internal Controls
09/22/06	Conference Panelists Review Trends in Executive Compensation
09/22/06	Beller, White Discuss New CD&A Requirement
09/15/06	SEC, PCAOB Chairmen Testify About Stock Options Backdating
09/15/06	SEC Reacts to Appeals Court Ruling on Shareholder's Proxy Access Proposal
09/15/06	Claim Remanded from Supreme Court Dismissed in Part
09/15/06	CEO Prevails on Summary Judgment Against SEC
09/08/06	Senior Management Has Growing Role in Compliance Oversight
09/08/06	Industry Pushes Back Against Fund Independent Chair Rule
09/08/06	ABA Urges the Adoption of Standards on Attorney-Client Privilege
09/08/06	SEC Proposes Electronic Filing of Transfer Agent Forms
09/08/06	Campos Applauds Activism That Promotes Shareholder Democracy
09/01/06	SEC Seeks Contractor for XBRL Software System
09/01/06	Office of Economic Analysis Provides Data on Fails to Deliver
09/01/06	Positions Unchanged on SEC's Fund Governance Rules
09/01/06	Shareholder Group Did Not Have Largest Financial Loss
08/25/06	Campos Supports Shareholder Majority Voting Initiatives
08/25/06	Executive Compensation Rules Provide Guidance on Stock Option Grant Disclosure
08/25/06	GAO Issues Report on Financial Restatements
08/25/06	SEC Moves to Further Ease Section 404 Compliance Burden
08/18/06	SEC Will Not Appeal Hedge Fund Ruling But Will Conduct Rulemaking
08/18/06	Staff Issues Guidance on Vacated Hedge Fund Adviser Rules
08/18/06	Prospectus Should Have Disclosed Impaired Assets, Contingent Losses
08/11/06	House Members and Treasury Official Review Sarbanes-Oxley Internal Controls
08/11/06	Oxley's Statement on the Sarbanes-Oxley Act's Fourth Anniversary
08/11/06	Commission Moves to Further Ease Section 404 Compliance Burden
08/11/06	SEC Adopts New Executive Compensation Disclosure Rules
08/11/06	Report Spotlights Lack of Homeland Security Disclosure
08/09/06	Pension Reform Act Allows Employees With 401(k)s To Obtain Investment Advice
08/09/06	SEC Adopts Executive Compensation and Related-Party Disclosure Reforms
08/04/06	PCAOB Issues Staff Alert on Stock Option Grants
08/04/06	Report Spotlights Lack of Homeland Security Disclosure
08/04/06	Senate Passes Military Financial Antifraud Bill With Broader Provisions
07/28/06	Cox Outlines SEC's Response to Invalidated Hedge Fund Adviser Rule
07/28/06	Ray Describes How PCAOB Will Amend Internal Control Standard
07/28/06	SEC Files Charges in Stock Option Back-Dating Case
07/21/06	CCH Analyst Launches Securities Blog
07/21/06	ISDA, SIA Support Revised Guidance on Structured Transactions
07/21/06	Commission Seeks Input on Section 404, Internal Control
07/21/06	SEC Amends PCAOB Budget Process
07/21/06	Retirement Funds Recommend More Disclosure About Option Grants
07/14/06	SEC Approves Guidance on Soft Dollars and Proposes Amendments to Reg. SHO
07/14/06	SEC Seeks Input for Guidance on Management's Reports on Internal Control
07/14/06	Atkins Supports Business Judgment in Options Grants
07/07/06	Audit Committee Workshop Panelists Discuss Recent Developments
07/07/06	Glassman Provides U.S. Perspective on Corporate Governance
07/07/06	Cox Promotes Better Shareholder Communications
06/30/06	Nazareth Urges Better Assessment of Fund Fees by Directors
06/30/06	Inspector General Recommends Improvements to Corporation Finance Review Process
06/30/06	ABA Urges SEC Not to Require Filing of Compensation Disclosure & Analysis
06/30/06	Campos Defends SEC's Hedge Fund Adviser Rule
06/30/06	Glassman Calls for Fewer Bright-Line Tests in Accounting
06/23/06	Cox Says Executive Compensation Rules May Address Back-Dating of Options
06/23/06	Law Professors Seek Withdrawal of SEC-Banking Agencies Guidance on Structured Transactions
06/23/06	PCAOB's Standing Advisory Group Looks at Back-Dating of Stock Options
06/23/06	Further Comments Sought On Independent Fund Directors Rule
06/23/06	Latest Guidance For Executives Now Available
06/16/06	Former and Current SEC Officials Discuss State of Financial Reporting
06/16/06	SEC General Counsel Discusses Impact of Shift in Corporate Governance
06/16/06	Nazareth Discusses Suitability Obligations in Sales of 529 Plans and Variable Annuities
06/09/06	Campos Discusses Electronic Proxies and Regulation NMS
06/09/06	Nazareth Reviews Electronic Proxy and Executive Pay Proposals
06/09/06	Atkins Discusses Foreign Issuers' Concerns in Paris Speech
06/02/06	SEC Institute Panelists Discuss Staff Reviews and Executive Compensation
06/02/06	Glassman Reviews Lessons Learned at SEC
06/02/06	SEC Official Pledges to Focus Examination Resources on Firms Engaged in Complex Transactions
05/26/06	Atkins Reviews Status of Hedge Fund Adviser Rule
05/26/06	Campos Discusses Shareholder Activism
05/26/06	Atkins Says PCAOB's Auditor Attestation Standard Should Be Reopened
05/20/06	SEC and PCAOB Announce Next Steps for Section 404
05/20/06	Panelists See Cultural Divide on Corporate Governance, Audit Committee Issues
05/20/06	SEC and Banking Agencies Issue Revised Guidance on Structured Transactions
05/12/06	SEC Official Discusses Convergence of Accounting Standards
05/12/06	Cox Discusses SEC's Agenda With House Financial Services Committee
05/12/06	PCAOB Describes Approach to 2006 Inspections
05/04/06	Cox Testifies on Measures for Improving Financial Disclosures
05/04/06	Baker Hears Views on Competition to U.S. Capital Markets
05/04/06	Cox Testifies on Fiscal 2007 Appropriations Request
04/28/06	Beller Examines SEC Executive Compensation Disclosure Proposal
04/28/06	SEC Official Discusses Results of First Annual Compliance Reviews
04/28/06	Advisory Committee Approves Final Report with Section 404 Recommendations
04/21/06	Commenters Seek Clarification of PCAOB Rules
04/21/06	Corporate Secretaries See Problems with Redundancy and Complexity in Compensation Disclosure Rules
04/21/06	Advisory Committee on Smaller Public Companies Considers Recent Views
04/14/06	Accounting Violations Showed Scienter, Statements Not Forward-Looking
04/14/06	SEC and CFTC Seek Comment on Rules for Trading Debt Security Index Contracts
04/14/06	New Director of Corporation Finance Offers Advice on Compensation Disclosure
04/07/06	Proposed SEC Deregistration Rules Do Not Cover Enough European Issuers
04/07/06	Campos Calls for Pilot Program on Small Company Compliance with Section 404
04/07/06	Regulators Discuss Ways to Improve Financial Reporting
03/31/06	Glassman Says Section 404 Should Be Applied to All Public Companies
03/31/06	DC Bar Panelists Discuss Developments in Foreign Corrupt Practices Act Cases
03/31/06	Campos Calls for Harmonized Regulation of Broker-Dealers
03/25/06	Panels Discuss Enforcement, Accounting Developments
03/25/06	Committee for Economic Development Recommends Improvements in Corporate Governance
03/25/06	Nazareth Discusses Convergence of Accounting Standards
03/17/06	Smaller Company Advisory Committee Seeks Comment on Report
03/17/06	Chamber of Commerce Report Urges Review of SEC's Enforcement Program
03/17/06	El Paso May Not Omit Proposal to Amend Bylaws on Executive Compensation
03/11/06	Commenters Propose Modifications to Tender Offer Best Price Proposal
03/11/06	Commissioners Speak at Practising Law Institute Conference
03/11/06	SEC Staff Addresses Current Issues at PLI Conference
03/03/06	Panelists Discuss Earnings Guidance, Accounting Issues
03/03/06	Commenters Submit Views on Internet Delivery of Proxy Materials
03/03/06	Glassman Discusses Impact of SEC Regulation Outside U.S.
02/25/06	SEC Approves PCAOB Standard on Remediation of Material Weakness
02/25/06	Standing Advisory Group Discusses Specialists and Litigation-Related Clauses
02/25/06	Chamber of Commerce Conference Focuses on Private Securities Litigation Reform
02/17/06	Company Information Program Not Unlawful Stock Touting
02/17/06	McCreevy Discusses Accounting and Auditing Regulation at U.S. Chamber of Commerce Forum
02/17/06	SEC and PCAOB Chairs Address Tax and Public Reporting
02/10/06	CCH Analysis: The SEC's Proposed Executive Compensation and Related-Party Disclosure Reforms
02/10/06	Glassman Says Better Communication Would Reduce Customer Complaints
02/10/06	Atkins Reviews Trends In Transatlantic Capital Markets
02/10/06	Glassman Reviews Five SEC Initiatives At ALI-ABA Institute
02/03/06	SEC Announces Corporate Penalties Framework
02/03/06	SEC Release Provides Guidance On Perquisites And Personal Benefits
02/03/06	Cox Provides Videotaped Remarks To Corporate Directors Forum
01/27/06	Staff Updates Guidance On Segment Reporting, Allowance For Loan Losses
01/27/06	SEC's Chief Information Officers Addresses Challenges of XBRL Technology
01/27/06	Chamber of Commerce Offers Action Plan To Strengthen Auditing Profession
01/23/06	Staff Offers Disclosure Guidance For Residential Loan Products
01/23/06	SEC Proposes New Executive Compensation Disclosure Rules
01/23/06	Staff Offers Guidance On Private Investment Entities
01/16/06	Beller Defines Scope of Internal Control Over Financial Reporting
01/16/06	Staff Updates Guidance On Pension Plan Disclosure
01/16/06	Guidance Addresses Warrants and Embedded Conversion Features
01/06/06	Advisory Committee Adopts Preliminary Recommendations
01/06/06	Telephone Interpretation Manual Updated With Regulation AB Information
01/06/06	SEC Updates Guide On Accounting and Disclosure Issues

2005

12/16/05	SEC Announces Fee Rates
12/16/05	SEC Official Discusses Roadmap for Eliminating U.S. GAAP Reconciliation Requirement
12/16/05	Cox and Atkins Are Keynote Speakers at AICPA Conference
12/09/05	Cox Pledges to Upgrade SEC's Administration of the Fair Funds Provision
12/09/05	PCAOB Adopts Budget, Amends Ethics Rule
12/09/05	Conference Panelists Review SEC and PCAOB Developments
12/02/05	Glassman Emphasizes Importance of International Dialogue
12/02/05	SEC Proposes Internet Posting of Proxy Materials
12/02/05	Attorney Could Be Liable for Insider Trading
11/09/05	Conference Panelists Discuss Current Disclosure Issues
11/09/05	Criminal Case Proceeds Against Enron Officers
11/09/05	6th Circuit Affirms Summary Judgment in Ponzi Scheme
11/04/05	SEC Responds to Chamber of Commerce Court Petition
11/04/05	Study Urges SEC to Focus on Efficiency, Capital Formation in Rulemaking
11/04/05	COSO Issues Internal Control Guidance for Small Companies
10/26/05	ISS Conference Highlights Emerging Corporate Governance Issues
10/26/05	Panel Discusses Evolution of SEC Enforcement Remedies
10/26/05	8th Circuit: Optimistic Statements Not Fraud
10/19/05	PCAOB Outlines Standard-Setting Priorities in 2006
10/19/05	SEC Official Explains Risk-Based Targeting
10/19/05	Panelists Say Sarbanes-Oxley Is Working
10/12/05	Atkins Continues Criticism of Hedge Fund Adviser Registration Rule
10/12/05	Statements on Anticipated Growth Could be Actionable
10/12/05	IPO Claims Could Be Subject to Antitrust Laws
10/05/05	Forum on Small Business Provides Recommendations to Advisory Committee
10/05/05	GAO Finds SEC Mutual Fund Inspections Problematic
10/05/05	Compliance with Internal Control Rules for Non-Accelerated Filers Deferred
9/27/05	SEC Defers Compliance With Internal Control Requirements for Non-Accelerated Filers
9/27/05	SEC Offers Assistance to Hurricane Victims
9/27/05	Staff Responds to Securities Offering Reform Transition Questions
9/19/05	SEC Evaluates Approaches for Estimating Stock Option Fair Value
9/19/05	6th Circuit Affirms Summary Judgment in Ponzi Scheme Case
9/19/05	SEC Orders Delays in Rule Compliance Dates
9/12/05	Regulation FD Does Not Cover Private Statements of Available Information
9/12/05	Commenters Differ on Regulatory Approach to Smaller Public Companies
9/12/05	Court Approves Revised Investor Education Funding Plan
9/07/05	Appeals Court Says SEC Injunction Unenforceable
9/07/05	Advisory Committee Submits Recommendations to SEC
9/07/05	SEC and Fed Seek Working Group Involvement in CFTC Reauthorization
8/31/05	Senior Kmart Executives Charged with Fraud
8/31/05	Bond Market Ass'n. Raises Concerns About NYSE's Automated Bond System Plan
8/31/05	Corporate Secretaries Urge ABA Committee Not to Change Director Election Standard
8/23/05	SEC Securities Offering Reform Analysis
8/23/05	Appeals Court Stays Effectiveness of SEC's Independent Chair Rule
8/23/05	Law Firm Recommends Revision to Definition of Reg. D Accredited Investors
8/16/05	Energy Policy Act Repeals Public Utility Holding Company Act
8/16/05	SEC Amends Section 16(b) Rules in Response to Court Opinion
8/16/05	Advisory Committee Agrees on Definition of Smaller Public Company
8/09/05	Chairman Cox Addresses SEC Staff
8/09/05	SEC Official Testifies About Weaknesses in Agency's Internal Controls
8/09/05	First Circuit Examines PSLRA Pleading Standards
8/02/05	Senate Banking Committee Holds Hearing on Pending SEC Nominees
8/02/05	SEC Adopts Final Rules on Exchange Delisting, Deregistration
8/02/05	Nazareth Discusses Conflicts of Interest and Risk Management at SIA Luncheon
7/25/05	SEC Grants Relief From Tick Test for Riskless Principal Transactions
7/25/05	Prezioso Calls for Dialogue on Attorneys' Response to Corporate Misconduct
7/25/05	Law Firm Outlines Key Board Challenges
7/20/05	Securities Fraud Action Can Proceed Against Multinational Accounting Firms
7/20/05	Attorney Outlines Measures for Responding to Corporate Crises
7/20/05	SEC Adopts Amendments to Penny Stock Rules
7/11/05	SEC Explains Why Scrushy Case Should Not Be Dismissed
7/11/05	Atkins Reviews Recent Rulemaking Initiatives
7/11/05	Investment Analyst Suit Fails to Plead Loss Causation
7/5/05	SIA Tells House Panel of Concerns on International Accounting Convergence
7/5/05	SEC Adopts Offering Reform Measures and Addresses Issues Remanded by Court
7/5/05	Staff Issues Guidance on Shareholder Proposal Questions
6/27/05	Court Says SEC Must Consider Costs of Fund Independent Chair Rule
6/27/05	Glassman Explains Regulatory Viewpoint
6/27/05	SEC Staff Issues Report on Off-Balance Sheet Transactions
6/21/05	Enforcement Official Says Waiver of Attorney/Client Privilege Not Required as Measure of Cooperation
6/21/05	8th Circuit: Sarbanes-Oxley Did Not Revive Claim
6/21/05	Atkins Discusses Section 404 and Stock Option Accounting
6/13/05	Small Firms Provide Section 404 Implementation Experience
6/13/05	House Subcommittee Reviews SEC's Mutual Fund Oversight
6/13/05	Bar Group Seeks SEC Guidance on Adviser E-Mail Retention
6/6/05	Supreme Court Reverses Andersen Conviction
6/6/05	SEC Defends Hedge Fund Rule Against Court Challenge
6/6/05	Nazareth Reviews Possible Reg. NMS Guidance
5/31/05	Chairman Donaldson Testifies on Regulation NMS SEC
5/31/05	Exchange Charged with Failure to Enforce Compliance Rules
5/31/05	SEC Staff Will Recommend Uniform Execution Quality Disclosure by Options Exchanges
5/23/05	SEC Discusses Section 404 Guidance and 10A Investigations
5/23/05	PCAOB Issues Policy Statement on the Implementation of Auditing Standard No. 2
5/16/05	SEC Provides Guidance on Management's Internal Control Reporting
5/11/05	11th Circuit: Investments in Viatical Settlements Were Securities
5/11/05	SEC Staff to Release Comment Letters, Responses
5/11/05	"Bespeaks Caution" Doctrine Inappropriate for Historical Facts
5/4/05	SEC Order Affirming Broker Suspension Vacated
5/4/05	Former Director's Section 13(d) Claim Not Actionable
5/4/05	Fifth Circuit Reverses Securities Suit Dismissal
4/22/05	Third Circuit: Lead Plaintiff Decides Attorney Fees
4/22/05	Supreme Court Decides Loss Causation Case
4/05/05	Studies Fault Current Systems for Executive Compensation
4/01/05	PCAOB Proposes Standard to Report Elimination of Material Weaknesses
3/30/05	Accounting Bulletin Issued on Stock Options
3/30/05	Sarbanes-Oxley Escrow of Extraordinary Payments Proper
3/30/05	Compensation Proposals May Not Be Omitted from Company Proxy Statements
3/29/05	GAO Says SEC's Information System Controls Are Not Effective
3/25/05	Law Professors Submit Brief Defending Regulation FD
3/23/05	Senate Passes Bankruptcy Bill With Derivatives Netting Provisions
3/23/05	Charges Settled in SEC Action Against Time Warner
3/16/05	NASD Arbitrators Not Subject to California Ethics Code
3/16/05	Inability to Trace Shares to IPO Dooms Claim
3/9/05	SEC Adopts Fund Redemption Fee Rule
3/9/05	SEC Reopens Comment Period on Broker Disclosure Rule
2/25/05	SEC Accountant Discusses Global Initiatives
2/23/05	Independent Directors Council Offers Views on Conducting Self-Assessments (cont.)
2/22/05	Directors Council Provides Guidance on Fund Board Self-Assessments
2/17/05	SEC Responds to Senate Letter on Whistleblower Provisions
2/16/05	SEC Chief Accountant Testifies on Fannie Mae's Accounting Errors
2/16/05	SEC Settles Market Timing Claims
2/15/05	Atkins Urges Global Cooperation in Devising Regulatory Solutions
2/10/05	SEC Adopts Voluntary XBRL Financial Reporting
2/10/05	Civil Monetary Penalties Increased for SEC and PCAOB
2/9/05	Atkins Urges Bond Market to Prepare Now for "Baby Boomer" Retirements
2/9/05	Staff Addresses Internal Control Report Filings
2/7/05	SEC Staff Clarifies Order Giving More Time to File Internal Control Reports
2/2/05	AICPA Offers Comfort Letter Procedures for Capsule Financial Information
2/2/05	SEC Brief Defends Rule Requiring Independent Fund Chairs
1/31/05	Compliance With Investment Adviser Code of Ethics Effective This Week
1/26/05	Google, General Counsel Charged in Registration Case
1/21/05	Beller Reviews Impact of Internal Control Reports
1/19/05	Supreme Court Hears Arguments in Loss Causation Case
1/14/05	Roye Reviews New Regulatory Framework for Hedge Fund Advisers
1/12/05	Insurance Company Investors Fail to Plead Falsity
1/05/05	Staff Reverses Position on Proxy Access Shareholder Proposal
1/03/05	SEC Staff Updates Guidance on Accounting and Disclosure Issues

2004

12/23/04	SEC Staff Reviews Accounting Projects and Enforcement at Recent Conference
12/20/04	Office of the Chief Accountant Updates FAQ on Auditor Independence
12/16/04	SEC Adopts Rules for Asset-Backed Securities Issuers, Reproposes Reg. NMS
12/14/04	Appropriation Enacted, Fee Rate Advisory Issued
12/14/04	2nd Circuit: Stale Claims Barred Under Sarbanes-Oxley Extension
12/10/04	Glassman Wants SEC and PCAOB to Closely Monitor Internal Control Rules
12/8/04	SEC May Revise Regulation NMS Proposal
12/8/04	Reporting Violations Prompt Trading Suspensions
12/7/04	NYSE Official Focuses on Independence of Exchange Regulatory Arm
12/6/04	SEC's General Counsel Cautions Against Poorly Structured Internal Investigations
12/2/04	Disney Shareholder Proposal on Separation of Chair and CEO Positions Cannot Be Omitted From Proxy
11/29/04	Accounting Firms Create Framework for Evaluating Internal Control
11/26/04	Division of Corporation Finance Issues FAQ on Form 8-K
11/24/04	NASD Task Force Calls for More Disclosure About Soft Dollars
11/23/04	Conference Panel Discusses Shareholder Proxy Access
11/18/04	Staff Says Closed-End Funds Do Not Have to Review Underwriters' Compliance Procedures
11/17/04	SEC Proposes SRO Governance, Transparency Requirements
11/16/04	Conference Panelists Discuss Accounting, Auditing and Internal Controls
11/15/04	SEC Official Addresses Questions About New 8-K Disclosure Items
11/10/04	Beller Says Staff Is Reviewing Compensation Disclosure
11/10/04	Staff Provides Guidance on Compliance with Global Settlement
11/5/04	SEC Says Business Partners Can Be Primary Violators in Company's Fraud Scheme
11/5/04	SEC Agrees to Additional Steps to Ensure Financial Market Preparedness
11/1/04	Roye Offers Advice on Compliance Policies and Procedures
10/29/04	Donaldson Calls for Cross-Border Cooperation and High Regulatory Standards
10/27/04	SEC Proposes Offering Reform Measures, Adopts Hedge Fund Adviser Registration
10/25/04	Donaldson Salutes New Independent Directors Council
10/21/04	MFA Submits Last Pitch Against Hedge Fund Adviser Registration
10/19/04	Conference Panelists Discuss Director Nominations and Shareholder Communications
10/14/04	SEC Proposes Amendments to Regulation M to Curb Abuses
10/13/04	Annual Report Should Contain Management's Internal Control Discussion
10/12/04	Companion Bills Would End Sales of Abusive Products on Military Bases
9/29/04	SEC Seeks Comment on Voluntary Use of XBRL Data Tagging
9/29/04	SEC Official Views Hedge Fund Registration; Discusses Complementary CFTC Regime
9/28/04	Cutler Says Enforcement Staff Will Focus on Role of Gatekeepers
9/8/04	Chamber of Commerce Challenges SEC Fund Governance Rules in Court
8/30/04	PCAOB Issues First Inspection Reports
8/27/04	SEC Proposes Postponement of Accelerated Filing for One Year
8/24/04	SRO, SEC Orders on Section 11(a) Violations Upheld
8/24/04	SEC Prohibits Use of Directed Brokerage to Distribute Fund Shares
8/24/04	SEC Broker Sanctions Vacated, Wrong Scienter Standard Used
8/24/04	Fund Directors' Lack of Independence Did Not Excuse Pre-Suit Demand
7/28/04	Commission Publishes PCAOB Rules on Foreign Firms for Comment
7/28/04	Specialist Firms to Pay More Than $5 Million in Disgorgement, Penalties
7/21/04	Commission Publishes PCAOB Audit Documentation Standard for Comment
7/21/04	D.C. Circuit: Rule 102(e) Not Effective Retroactively
7/21/04	Commission Proposes to Require Hedge Fund Adviser Registration
7/14/04	Reliance Presumption Unavailable in Research Analyst Suit
7/14/04	District Court: Investments in Viatical Settlements are Securities
7/14/04	SEC to Consider Hedge Fund Adviser Registration
7/7/04	SEC Staff Provides Guidance on Management's Report on Internal Controls
6/30/04	SEC Adopts Independent Chair Requirement for Mutual Funds
6/23/04	SEC Approves PCAOB Internal Control Standard
6/16/04	Defrauded Investors Had SIPA Claim for Securities
6/16/04	PCAOB Adopts Rules on Oversight of Non-U.S. Accounting Firms
6/9/04	SEC Proposes Regulation B on Bank Securities Activities
6/2/04	SEC Adopts Breakpoint Disclosure, Adviser Code of Ethics Requirement
5/24/04	Roye Calls on Mutual Fund Industry to Embrace Reform
5/19/04	9th Circuit: Sarbanes-Oxley Payment Escrow Reversed
5/19/04	Audit Standard on References to PCAOB Approved
5/12/04	Early Commenters Bemoan Costs of Internal Control Standard
5/12/04	GAO Reports on Improvements to SRO Listing Standards
5/11/04	SEC's Enforcement Chief Discusses Implications of Aggressive Penalties
5/3/04	Consolidated Broker-Dealer Supervision Framework Adopted
5/3/04	Chief Accountant Addresses Auditor's Independence Sanction
4/28/04	Comment Period Closes on International Financial Reporting Standards
4/21/04	Audit Firm Sanctioned for Violating Independence Rules
4/21/04	SEC Adopts Exemption for Insider Loans by Foreign Banks
4/14/04	Putnam to Pay $55 Million in Market Timing Case
4/14/04	SEC to Consider Market Timing, Portfolio Disclosure Rules
4/7/04	NASD and NYSE Issue Interpretation of Analyst Rules
3/31/04	Investor Education Plan in Global Settlement Approved
3/30/04	Section 404, SEC Rules and PCAOB Auditor Standards Define New Internal Controls
3/30/04	Boards Must Prepare for Increased Dealings with Investors
2/11/04	Fed Official Says Enterprise-Wide View Fosters Adequate Controls
2/11/04	SEC to Consider Fund Rulemaking
2/4/04	Corporate Governance Principles Emerge in Environment of "Competitive Federalism"
1/28/04	Company Settles SEC Action Alleging Inadequate Internal Controls
1/21/04	Key Senator Backs SEC Proposal on Shareholder Director Nominations
1/21/04	Proposals Target Fund Governance, Adviser Ethics, Point of Sale
1/14/04	SEC Chairman Outlines Fund Governance Reforms, Details Key Focus Areas
1/7/04	Business Roundtable Critical of Shareholder Election Rules

2003

12/31/03	Commission Offers Guidance on MD&A Disclosures
12/31/03	SEC Adopts Fund, Adviser Compliance Rules
12/17/03	SEC Chief Accountant Examines Critical Role of Audit Committees
12/17/03	SEC to Consider Fund, NYSE Rulemaking
12/10/03	Key Senators Try to End Abusive Tax Shelters
12/10/03	Practice Rule Amendments Proposed to Implement Sarbanes-Oxley Act
12/10/03	Fund Rulemaking Addresses Late Trading, Market Timing
12/3/03	SEC to Consider Fund Rulemaking on Compliance, Late Trading
12/3/03	Proxy Disclosure, Communications Rules Adopted
11/19/03	PCAOB Member Goelzer Examines Internal Control Proposal
11/19/03	Brokerage Firm Settles Mutual Fund Disclosure Action
11/12/03	SEC Officials Outline Two-Pronged Mutual Fund Reform Initiative
11/12/03	Key Senators Back Mutual Fund Reform Bill
11/12/03	NYSE Proposes Changes to its Governance Structure
11/6/03	Roye Details Planned Rules on Late Trading, Market Timing
11/6/03	SEC Approves SRO Corporate Governance Rules
10/31/03	Issuer Repurchase Rules Adopted, Fund, Short Sales Rules Proposed
10/20/03	Fund Rules, Issuer Repurchase and Short Sale Changes to be Considered
10/15/03	PCAOB Proposes Internal Control Audit Standards
10/15/03	SEC Chair: Staff "Aggressively Investigating" Fund Abuses
10/15/03	Shareholder Access to Proxy Allowed Under SEC Proposal
10/8/03	PCAOB Adopts Withdrawal, Adjudication Rules
10/8/03	Commission to Consider Proxy Access Rules
10/2/03	SEC Seeks Subpoena Enforcement Against Former Enron CEO
9/24/03	PCAOB Chair Tells Congress of Scope of Inspections, Standard-Setting
9/24/03	Former Citigroup Head Named Interim NYSE Chair
9/17/03	ABA Comments on Proposed Corporate Governance Listing Standards
9/10/03	ABA Comments on PCAOB's Proposed Investigatory Rules
9/10/03	PCAOB Member Discusses Board Agenda
9/10/03	SEC Questions NYSE Chairman's Pay Package
9/3/03	SEC Responds to House Leader on Mutual Fund Regulation Issues
8/20/03	SEC Provides Guidance on Elements of Auditor Independence
8/13/03	House Leaders Ask SEC to Adopt Mutual Fund Reform Rules
8/13/03	SEC Proposes Disclosure Requirements for Director Nominations
8/6/03	Registration Application Fees Announced by PCAOB
8/6/03	PCAOB Proposes Rules on Inspections, Investigations and Adjudications
8/6/03	SEC Approves SRO Analyst Conflict Rules
7/30/03	Financial Services Committees Approves Mutual Fund Reform Measure
7/30/03	SEC General Counsel Says Attorney Conduct Rules Preempt State Regulation
7/30/03	Staff Study on Principles-Based Accounting Published
7/23/03	Glassman Addresses Internal Control Issues, Approval of Non-Audit Services
7/23/03	SEC Deputy Chief Accountant Discusses Scope of Audit Fee Disclosure
7/23/03	Staff Issues Report on Shareholder Access to Proxies
7/16/03	Bill to Amend "Fair Fund" Provisions of Sarbanes-Oxley Moves Forward
7/16/03	SEC Concerned Over Investment Banks Serving Clients in Bankruptcy
7/9/03	SEC Will Soon Consider Shareholder Election of Directors
7/9/03	SROs Require Shareholder Vote on Stock Plans
7/7/03	Federal Reserve, PCAOB Work to Assure Quality Audits
7/7/03	FASB Seeks Enhanced Pension Disclosures
6/27/03	SEC Responds to Federal Judge on Wall Street Global Settlement
6/27/03	SEC Supports Mutual Fund Reform Bill
6/18/03	House Bill Would Bring Sarbanes-Oxley Reform Approach to Fund Industry
6/18/03	Staff Answers Questions on Non-GAAP Measures
6/11/03	Deputy Chief Accountant Addresses Internal Control Issues
6/11/03	Federal Judge Questions Wall Street Global Settlement
6/4/03	Fed Gov. Bies Examines Audit Committees, Internal Controls
6/4/03	Settlement Proposed by SEC in WorldCom Suit
6/4/03	Internal Controls, Certification Rules Adopted
5/28/03	McDonough Unanimously Approved to Chair PCAOB
5/28/03	SEC Expected to Adopt Internal Control Rules
5/28/03	Sarbanes-Oxley Rule on Improper Audit Influence Adopted
5/21/03	Federal Reserve Governor Examines Internal Auditor Functions
5/21/03	PCAOB Submits Registration Rules for SEC Approval
5/14/03	Roundtable on Stock Options Reveals Serious Divide
5/14/03	Commission Discusses Distribution Funds for IPO Global Settlement
5/14/03	SEC Mandates Electronic Filing of Insider Ownership Reports
5/7/03	SEC Acting Chief Accountant Sees Major Issues for PCAOB
5/5/03	European Union Concerned Over PCAOB Audit Registration
4/30/03	SEC Approves PCAOB Organization, Interim Standards
4/30/03	Audit Committees Transformed
4/30/03	New Corporate Earnings Disclosures Requirements
4/30/03	New Rules Prohibit Improper Influence on Auditors
4/30/03	Electronic Filing of Insider Holdings Mandated
4/30/03	Global Settlement with Investment Banks Announced
4/25/03	Federal Reserve Official Calls for Full Expensing of Executive Pay
4/25/03	Interim professional Audit Standards Adopted by PCAOB
4/25/03	Federal Reserve Official Named to Head PCAOB
4/22/03	The SEC Imposes Up-the-Ladder Reporting Duties on Corporate Attorneys
4/22/03	The National State Law Conference Endorses the New Uniform Securities Act
4/14/03	Primary Claims Against Individual Anderson Defendants Dismissed
4/9/03	SEC Chair Says Boards Responsible for Good Corporate Governance
4/9/03	SEC Creates Web Site for Section 16 Filings
4/9/03	Rules on Listing Standards for Audit Committee Compliance Adopted
3/26/03	AICPA Issues Draft on Sarbanes-Oxley Audit Controls
3/26/03	New Accounting Board Proposes Bylaws, Registration System
3/26/03	Most Exchange Act Claims Dismissed Against Enron Outside Directors
3/26/03	Commission Proposes Changes to CEO, CFO Certification Rules
3/19/03	FASB Chairman Gives Views to House Subcommittee
3/19/03	SEC Charges Brokerage Firm with Aiding, Abetting Enron Accounting Fraud
3/19/03	PCAOB Proposes Tiered Funding Formula to Support Board Activities
3/12/03	Enforcement Division Describes "Breakdown by Gatekeepers"
3/5/03	Cutler Testifies on Sarbanes-Oxley Fair Fund Provisions
3/5/03	SEC Chairman Donaldson Calls for High Ethical Standards
2/26/03	Senator Urges Congress to Keep Sarbanes-Oxley Loan Ban
2/26/03	Fed Gov. Bies Cautions on Adequacy of Derivatives Disclosure
2/19/03	Congress Enters Debate on Expensing of Stock Options
2/19/03	Commissioner Atkins Details Sarbanes-Oxley Impact on Foreign Issuers
2/19/03	Senate Confirms Donaldson as SEC Chairman
2/12/03	SEC Approves Analyst Certification Rule
2/12/03	Senate Committee Hears from SEC Chair Nominee
2/12/03	Top UK Regulator Favors Expensing of Options
2/05/03	SEC Chief Accountant Views Public Company Accounting Oversight Board
2/05/03	SEC Enforcement Studies Submitted to Congress Under Sarbanes-Oxley
1/29/03	Financial Disclosure Rules Adopted
1/29/03	Restrictions on Insider Trades During Blackout Periods Approved
1/29/03	Commission Adopts Pro Forma Restrictions
1/29/03	Commission Adopts Sarbanes-Oxley Rulemaking Measures
1/22/03	Oxley Wants Greater Transparency for Mutual Funds
1/22/03	Commission to Consider Sarbanes-Oxley Rulemaking Items
1/15/03	SEC Chief Accountant Discusses Sarbanes-Oxley Rulemaking
1/2/03	European Union Officials Finds Sarbanes-Oxley Unhelpful
1/2/03	Fraud Charges Against Enron Secondary Actors Survive

2002

12/18/02	Enforcement Director Discusses Audit Enforcement Environment
12/11/02	New Senate Banking Chairman Gives Views on Securities Laws, Privacy
12/11/02	SEC's Attorney Conduct Proposal Debated
12/11/02	William Donaldson Appointed to Head SEC
12/04/02	Atkins Views Duties of Corporate Lawyers in Wake of Sarbanes-Oxley
12/04/02	Auditor Independence Rules Proposed
12/03/02	FREE List of New Books and Records Rules. Compliance Deadline: May 2, 2003
11/18/02	SEC to Consider Sarbanes-Oxley Audit Proposals
11/18/02	Webster Resigns from Accounting Board, Acting Chief Accountant Named
11/13/02	Lawyer Conduct Rules Proposed by SEC
11/13/02	SEC Chair Pitt, Chief Accountant Resign
11/06/02	Federal Reserve Official Addresses Corporate Governance, Disclosure
11/06/02	Two Commissioners Dissent from Audit Board Selections
11/06/02	Rules Proposed on Pro Forma Reports, Trading Blackouts
10/31/02	Increased Transparency Object of Sarbanes-Oxley Proposals
10/31/02	Public Company Accounting Oversight Board Members Named
10/24/02	Director Roye Details Impact of Sarbanes-Oxley on Investment Companies
10/24/02	SEC Proposes Sarbanes-Oxley Act Rules
10/16/02	Pitt Views Application of Sarbanes-Oxley to Foreign Issuers, Accountants
10/16/02	SEC to Consider Sarbanes-Oxley Act Proposals at Open Meeting
10/10/02	Federal Reserve Official Urges Principle-Based Accounting
10/10/02	Key Senators Urge SEC to Stand Firm on Insider Loans
10/03/02	Chamber of Commerce Panel Views Sarbanes-Oxley Act
10/03/02	Commissioner Glassman Addresses Corporate Governance
09/27/02	Conference Board Recommends Expensing of Options, Pre-Trade Insider Reporting
09/18/02	Federal Reserve Board Implements Sarbanes-Oxley Act
09/12/02	SEC Chairman Instructs NYSE and NASD on California Arbitrations
09/12/02	Bill Would Allow Bankruptcy Trustee to Pursue Executive Compensation
09/04/02	SEC Proposes Rules for Certifying Fund Reports
08/28/02	SEC Adopts Rules on Certification of Financial Statements, Accelerated Disclosure, and Insider Reporting
08/23/02	German Companies Question Application of Sarbanes-Oxley to Foreign Issuers
08/21/02	Senate Bills on Options Could Receive Consideration
08/14/02	Rulemaking Anticipated in Light of Section 16(a) Changes
08/14/02	SEC Issues Supplemental Information on CEO Certifications
08/07/02	NYSE Adopts Corporate Governance Measures
08/07/02	SEC Staff Issues Advice on CEO, CFO Certification
08/05/02	Sarbanes-Oxley Act of 2002: Law and Explanation Available
08/02/02	Audit Firm Selling Consulting Arm to Client Could Continue as Auditor
07/31/02	Corporate and Accounting Reform Legislation Signed Into Law
07/29/02	President To Sign Sarbanes-Oxley Act Tuesday
07/26/02	Sarbanes-Oxley Act Goes to President's Desk
07/25/02	Sarbanes-Oxley Act Provides Sweeping Corporate and Accounting Reform
07/24/02	House-Senate Conference Agrees on Corporate and Accounting Reform Measure
07/24/02	Bar Officials Question SEC Authority to Issue Certification Order
07/18/02	House Quickly Passes Corporate Accountability Legislation
07/17/02	President Outlines Corporate Fraud Proposals
07/16/02	Senate Passes Sweeping Corporate and Accounting Reform Bill
07/10/02	Corporate Governance Bill Introduced by House Leader
07/10/02	Senate Report Rebukes Enron Board, Makes Recommendations
07/10/02	House Holds Hearings on FASB Reform Bill
07/10/02	House Leaders Question SEC on Corporate Accounting Review
07/03/02	SEC Brings Civil Action Against WorldCom
07/03/02	Pitt Says CEOs Will Certify Accuracy of Financial Statements
06/26/02	Senate Banking Committee Reports Out Sweeping Enron Reform Bill
06/19/02	Proposal Would Require CEO, CFO to Certify Reports
06/12/02	Chairman Pitt Commends NYSE Corporate Governance Proposals
06/12/02	Fed Official Views Post-Enron Accounting Standards
05/22/02	DC Circuit: Auditor Negligence Sufficient for Cease-and-Desist Order
05/22/02	Accounting Issues Take Center Stage in House Hearings
05/22/02	Commission Extends Temporary Bank Exemption from Broker Rules
05/15/02	SEC Approves SRO Rules on Analyst Conflicts
05/08/02	Proposal Calls for MD&A Disclosure of 'Critical' Estimates
05/01/02	"Merger of Equals" Fraud Suit Survives Challenge
04/24/02	House Enron Reform Bill Would Mean Broad Change for Auditing and Corporate Disclosure
04/17/02	SEC Proposes Accelerated Corporate Disclosure Rules
04/10/02	Pitt Calls for Reform of Options, Corporate Governance
04/10/02	Sen. Lieberman Gives Vision of Regulation in Post-Enron Era
04/3/02	Former Fed Chairman Volcker Briefs European Commission on Enron
04/3/02	Treasury Official Says GAAP Technical Compliance Is Not Enough
04/2/02	Synopsis: "After Enron…A Panel Discussion"—IIT’s Center for Law and Financial Markets, Chicago
03/27/02	SEC Chairman Pitt Testifies on House Enron Reform Bill
Spring 2002	How Markets Cope When A Big Player Goes Bust
Spring 2002	Why Didn't We All Short Enron?
03/20/02	SEC Responds to Andersen Indictment
03/20/02	Chief Accountant Herdman Addresses Audit Committees
03/13/02	Bill Would Amend 1995 Securities Reform Act
03/13/02	Bush Administration Unveils Corporate Governance Initiative
03/6/02	Former SEC Chief Accountants Call for Reforms in Wake of Enron
03/6/02	Lead Plaintiff and Lead Counsel Appointed in Enron Litigation
02/27/02	Chairman Pitt: Ethical Issues Key to Accounting Reform
02/27/02	Senate Bill Would End Stock Option Double Standard
02/20/02	SEC Plans New Corporate Disclosure Rules
02/20/02	Former SEC Chairmen Urge Reforms in Senate Testimony
02/20/02	Fed Governor Cautions on Accounting for Special-Purpose Entities
02/6/02	Congress Considers Bills Prompted by Enron Case
01/30/02	Levitt Calls for Oversight Body and Better Governance During Enron Hearings
01/23/02	Chairman Pitt Calls for Accounting Reforms

1999-2000

9/12/2000	Selective Disclosure Regulation Adopted
5/23/2000	Unger Discusses "Fine Tapestry" of Oversight
5/5/2000	KPMG Settlement Disclosed in Court Documents
4/28/2000	SEC Commissioner Hunt Suggests Changes to Proposed Selective Disclosure Rules
4/21/2000	GAO Report Highlights the Need for the CFTC and SEC to Work Together Updating Shad-Johnson
4/14/2000	New Electronic Filing Proposal Outlined at Adviser Conference
4/1/2000	Court considers whether deficient auditing ''caused'' investors' loss
2/29/2000	SEC Charges Fraud in Hedge Fund Losses
1/24/2000	Widespread Independence Violations Reported
1/7/2000	NASD Board Agrees to Historic Restructuring
12/15/99	A Wall Comes Tumbling Down

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