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BusinessWeek November 24, 2003 Paula Dwyer	The Big Board's Blueprint: Done Deal? New York Stock Exchange critics feel shortchanged by interim Chairman John S. Reed's new governance plan, but the SEC is already on board.
BusinessWeek October 6, 2003 Weiss et al.	New Broom at the Big Board Enter John Reed. Can the former Citi boss bring real change to the troubled New York Stock Exchange?
BusinessWeek November 10, 2003 Gary Weiss	NYSE: How Deep Will Reform Run? Revamping the way the Big Board works may not happen on John Reed's watch.
BusinessWeek January 12, 2004	The Repurposed What's so great about kicking back? These execs have big second acts
The Motley Fool December 18, 2003 Bill Mann	Thain Takes Reins at NYSE An investment banker takes over the biggest trading floor in the world.
BusinessWeek January 12, 2004	Dick Grasso Grasso was, in a sense, the ultimate victim of the NYSE's secretive corporate culture and Stone Age governance practices.
BusinessWeek May 17, 2004 Gary Weiss	There's A Floor Under Those Seats If the price of an NYSE membership is any guide, traders' livelihoods are secure.
BusinessWeek February 28, 2005 Amy Borrus	Donaldson's Balancing Act The SEC chairman plans further reforms -- mixed with business-friendly flexibility.
U.S. Banker December 2003 Lee Conrad	New York Stock Exchange Works to Repair Its Image Investors don't care, but seat prices at the NYSE are down.
The Motley Fool February 18, 2004 Bill Mann	End of the Specialist System? SEC investigations and electronic trading may spell the end of an era. Specialist firms line up to settle with the regulators.
BusinessWeek January 26, 2004 Mara Der Hovanesian	The NYSE: A Thousand Cuts ECNs, regional exchanges, brokerages -- they're all taking a piece of the Big Board.
BusinessWeek October 13, 2003 Robert Kuttner	The Big Board: Crying Out for Regulation The Grasso pay debacle means the SEC should supervise the NYSE.
Investment Advisor July 2008 Melanie Waddell	SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds.
BusinessWeek January 23, 2006 Amy Borrus	The Unlikely Hardnose At The SEC Securities & Exchange Commission Chairman Chris Cox wants all CEO pay revealed.
Wall Street & Technology February 12, 2004 Ivy Schmerken	Changing the Rules of the Game A change in the trade-through rule now on the SEC's agenda could lead to more direct-access and smart order-routing tools.
BusinessWeek August 11, 2003 Dwyer & Borrus	NASDAQ: The Fight of Its Life The once-dazzling market is on the ropes as the bear market, fierce competition -- and hubris -- take their toll.
The Motley Fool September 29, 2004 Selena Maranjian	Brokerages Become More Compliant New rules aim to keep brokerages on the straight and narrow.
Registered Rep. October 1, 2002 David A. Gaffen	Pitt to NASD, NYSE: Foul! The NASD and NYSE sued the California Judicial Council to stop new arbitration rules, claiming SEC oversight and federal law preempts separate state regulation. Harvey Pitt has ordered the organizations to empanel arbitrators to start handling the cases against brokers that have been piling up.
BusinessWeek December 30, 2009 Jesse Westbrook	Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure.
Registered Rep. September 1, 2005 Karen Jones	Regulate Thyself (Better) Further complicating the debate over the self-regulatory organization (SRO) structure are the NYSE's planned demutalization and merger with Archipelago Holdings and Nasdaq's planned merger with Instinet Group. How will these moves affect their role as policemen of brokers?
Registered Rep. December 11, 2002 Will Leitch	Bush Appoints DLJ Founder To Run SEC A month since embattled former chairman Harvey Pitt resigned, President Bush announced plans to nominate William Donaldson, founder of investment bank Donaldson Lufkin & Jenrette to head the Securities and Exchange Commission.
The Motley Fool May 14, 2004 Selena Maranjian	Shareholders Take Action Here are some tips on how to make a difference with your holdings.
Wall Street & Technology March 26, 2004 Larry Tabb	NYSE: Fast Market or No Market? If the NYSE becomes more electronic, its owners (the specialists and floor brokers) will be disadvantaged, and possibly jobless.
Registered Rep. June 1, 2005 John Churchill	SEC to Lose Its Head Some say the departure of SEC Chairman William Donaldson, appointed by President George W. Bush to help restore confidence in scandal-ridden markets, can't result in anything positive for the Commission's agenda in the near future.
The Motley Fool July 15, 2004 Tim Beyers	SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register.
BusinessWeek December 1, 2003 Borrus & Dwyer	The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry.
BusinessWeek December 6, 2004 Amy Borrus	No More Breaks For The Big Board Why the SEC should stand by its plan to loosen the NYSE's hold on trading
Wall Street & Technology June 4, 2004 Ivy Schmerken	Reg NMS: Divided We Stand Unable to define fast versus slow markets, the industry is split over the SEC proposal to amend the trade-through rule.
Registered Rep. August 1, 2004 Will Leitch	The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go.
BusinessWeek February 14, 2005 Amy Borrus	Dr. No Digs In At The SEC When the Securities & Exchange Commission voted behind closed doors late last year to fine Goldman Sachs Group Inc. $40 million for allegedly trying to pump up the prices of initial public stock offerings, there was one holdout.
The Motley Fool December 17, 2003 Bill Mann	CalPERS Sues the NYSE Bad governance at the Big Board has riled up the $154 billion pension manager.
Wall Street & Technology March 1, 2004 Ivy Schmerken	Changing of the Guard The NYSE's new Chief Executive John Thain is moving quickly to increase automatic execution on the floor. Will there still be a role for specialists? Will he dismantle the auction model? How far will John Thain go?
BusinessWeek August 9, 2004 Amy Borrus	At The SEC, The Agony Of Compromise Chairman Donaldson is finding a deal on proxy reform elusive in an election year. Yet, despite competing pressures, his resolve shows no sign of waning.
Investment Advisor December 2006 Kathleen M. McBride	Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules.
Registered Rep. November 7, 2002	SIA Conference: Let's Get Confident! Rudy says: I won't take SEC helm if asked. It's official: It's a time for "building investor confidence." That's the theme of this year's Securities Industry Association gabfest, held at the tony Boca Raton Resort & Club in Boca Raton, Fla. Never mind that SEC Chairman Harvey Pitt resigned two days ago. Think positively.
Registered Rep. April 1, 2005 Bill Singer	Two-Tiered Justice? A recent SEC report shows that the NASD is far less enthusiastic about policing itself --- despite the fact that such self-regulation is part of its charter.
BusinessWeek September 13, 2004 Mara Der Hovanesian	Put The Big Board On The Big Board Why the nation's largest stock exchange should go public.
Wall Street & Technology October 27, 2003 Kerry Massaro	Arthur Levitt Says There will Always Be Abuses Arthur Levitt, chairman of the SEC from 1993 to 2000, discusses some of the pressing regulations on Wall Street and their technology implications.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
Registered Rep. November 11, 2005 David A. Geracioti	Cox to SIA: No Regulatory Rollback When William Donaldson stepped down as SEC chairman, the perception was that the reform movement had also left the building. But Christopher Cox's first speech to the Securities Industry Association was to the contrary.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors.
Investment Advisor August 2010 Melanie Waddell	Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.
Registered Rep. September 10, 2002 Rick Weinberg	Pitt Tells NASD, NYSE to Hear California Arbitration Cases Pitt told the exchanges in a letter dated Sept. 5 that they have to "immediately" provide California investors access to arbitration panels in the state or some other forum to dispute claims.
The Motley Fool August 2, 2004 Selena Maranjian	Buying Your Brokerage? There are good and bad ways to invest in securities firms. Look for these red flags before investing in a broker-dealer offering (BDO.)
The Motley Fool April 2, 2004 Shannon Zimmerman	SEC: Toothless No More? Is the SEC getting serious about fund industry reform?
The Motley Fool October 2, 2009 Robert Brokamp	Let's Fix the Rules of Enforcement Is the SEC up to the task?
Registered Rep. March 9, 2006 Halah Touryalai	NYSE Reg. And NASD: Merger `Em?; A Senate Committee Opens Hearings on SROs Are federal securities laws crafted in the 1930s still effective 70 years on? And, more important, is a privately owned, for-profit NYSE Group able to "self-regulate" itself without being mired in conflicts? And, as registered reps, should you care?
Registered Rep. March 1, 2007 Kevin Burke	The New SRO Plans for the NYSE/NASD regulatory consolidation are moving quickly toward an April 2 deadline. But executives question whether the proposed governance structure for the consolidated regulator could change the nature of regulation in the industry for the worse.
CFO October 1, 2011 Sarah Johnson	Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules.
Registered Rep. February 1, 2006 John Churchill	Schapiro in, Glauber Out at NASD in 2007 Mary Schapiro, head of NASD Regulatory Policy and Oversight, will be taking over for Robert Glauber as chairman of the NASD at the end of the year. One tough cop replaces another.