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The Motley Fool
June 30, 2004
Rich Smith |
Siebel Spills Secrets Inaugural Regulation Fair Disclosure (Reg FD) violator Siebel Systems, provider of customer relationship management (CRM) software, is in trouble with the SEC yet again.   |
CFO
August 1, 2004 |
Loose Lips Siebel Systems is accused of another Red FD violation... More Fallout from Tax Shelters... CFOs on the Move... |
eCFO
April 2001
Randy Myers |
Put Up or Shut Up To comply with Regulation FD, corporate officers are starting to post company news on the Web. But Reg FD has so spooked some corporate officers that they've shied away from practically any informal contact with analysts... |
The Motley Fool
November 16, 2009
Jim Mueller |
The Daily Walk of Shame: Energizer and Fair Disclosure According to a Reuters report, Energizer Holdings held a conference call with a select group of sell-side analysts after reporting earnings, giving them information not released to the general public. |
CFO
April 1, 2005 |
Proper Recognition Guidance needed on recognizing revenue...Secret Rewards... A License to Print Money?... The Right to Whisper... Light Up and You're Fired!... The Danger of Deferrals... etc. |
CFO
July 1, 2006
Kate O'Sullivan |
Hungry for More Reg FD has changed the way companies serve up information, leading to plenty of tension between CFOs and analysts. As the pressure on sell-side researchers grows, many analysts have moved to the buy side. |
CFO
March 1, 2010
Sarah Johnson |
Nonplussed by Non-GAAP CFOs are dismayed and discouraged by the SEC's approach to non-GAAP reporting. |
The Motley Fool
November 1, 2005 |
Selective Disclosure, Explained The SEC instituted a "Fair Disclosure" rule that prohibited public companies from alerting analysts and major investors to important changes before disclosing that information to the general public. So what has happened since the rule went into effect? |
CFO
November 1, 2003 |
Reforming the Big Board Is it time for reform at the NYSE?... how body language can land a CFO in hot water... FirstEnergy's embarrassing reporting blunder... new pension disclosure rules... etc. |
The Motley Fool
August 11, 2010
Alyce Lomax |
Pop the Champagne! RegFD Turns 10 Regulation Fair Disclosure, or Reg FD blocked corporate managers from sharing material information only with select Wall Street analysts; they were now required to share it publicly. |
Real Estate Portfolio
Jan/Feb 2001
Anna Chason |
Regulation Fair Disclosure: Walking the High Wire Investor relations have been described as a fencing match conducted on a tightrope. In providing information to investors and analysts, corporate officers must carefully negotiate the "high wire" and provide full information while avoiding "selective disclosures"... |
CFO
May 1, 2007
Joseph McCafferty |
The Long View Corporate managers have long complained about the pressure to focus on the short term, but now, for the first time, critics and business groups are racing to their defense. The cure for the myopia? Stop giving quarterly earnings guidance. |
CFO
July 1, 2004
Alix Nyberg |
A Matter of Emphasis Regulation G was supposed to end the abuses of pro forma reporting. Has it succeeded? |
CFO
February 1, 2003
David Campbell |
Cozying Up to Analysts Many companies that turn to "fireside chats"' also risk running afoul of Reg FD. |
CFO
May 1, 2010
Sarah Johnson |
The SEC Has a Few Questions for You This is the envelope no CFO looks forward to opening, even if the inquiry proves to be fairly routine. |
The Motley Fool
February 27, 2007
David Lee Smith |
Confessions of a Wall Street Analyst Peer inside the strange, mixed-up world of securities analysis. |
BusinessWeek
September 26, 2005
Amy Borrus |
The SEC: Cracking Down On Spin The Securities & Exchange Commission is going after executives for skimpy or misleading disclosures in annual reports. |
CFO
October 1, 2007
Kate O'Sullivan |
Who Owns Your Stock? For CFOs, who owns the company's stock is a critical question that doesn't always have an easy answer. How much impact investor secrecy has on the efficiency of the market is unclear. |
CFO
October 1, 2002
Kris Frieswick |
Investment Banking: More Bricks in the Wall Regulators are introducing new rules to ensure the objectivity of stock analysts, but what's good for investors could be bad for CFOs. |
Information Today
August 18, 2008
Marydee Ojala |
The End of the Corporate News Release? On July 30, 2008, the SEC (U.S. Securities & Exchange Commission) staff recommended that the commission issue an interpretative release to provide additional guidance to companies wishing to use their websites as vehicles to provide information to investors. |
HBS Working Knowledge
January 16, 2012
Carmen Nobel |
Private Meetings Thwart Fair Disclosure Rules Despite a federal regulation prohibiting selective information disclosure among public companies and their favorite investors, executives at public firms still spend a great deal of time in private powwows with hedge fund managers. |
CFO
March 1, 2003
Joseph McCafferty |
Mum's the Word Several companies have decided to forgo quarterly earnings guindance, but a code of silence may not be for everyone. |
CFO
May 1, 2003
Joseph McCafferty |
On Closer Examination Reform of sell-side research is creating a variety of new headaches for corporations. |
CFO
May 1, 2005
Lori Calabro |
In Your Own Defense Why representing finance executives in lawsuits is both an art and a science. |
CFO
June 16, 2003
Laton McCartney |
Nothing to Hide Eager to be more transparent, companies are using a range of technologies to communicate with shareholders. |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
CFO
April 1, 2005
Tim Reason |
The Limits of Mercy The cost of cooperating with the SEC is high. The cost of not cooperating is even higher. Faced with financial penalties, career-ending bans, and possible criminal prosecution, more individuals are choosing to fight the SEC. |
CFO
February 1, 2008
Kate Plourd |
What's in Your Wallet? The CD&A gives investors a better view of executive pay. It could also give CFOs a raise. |
CFO
June 1, 2010
Alix Stuart |
Google Shakes Up Investor Relations The tech firm tells investors to rely more heavily on its Website -- and its CFO. |
CFO
October 1, 2003
Craig Schneider |
The Attorney's Dilemma Will the SEC's new and proposed rules to turn lawyers into whistle-blowers strain relations between finance executives and corporate counsel? |
CFO
October 1, 2002
Alix Nyberg |
Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency? |
CFO
July 1, 2002 |
Take Me To Your Ledger Plus, good news for a hybrid tax shelter... why Americans don't invest abroad... NYSE wins a battle on Nasdaq's own turf... etc. |
InternetNews
April 8, 2004
Jim Wagner |
Former CA Execs Facing Up To Fraud Charges Former Computer Associates CFO Ira Zar and two others expected to plead guilty in court Thursday. |
The Motley Fool
June 30, 2009
Tim Beyers |
Why I Won't Be Selling Apple The end doesn't justify the means, but it also doesn't justify a sale. |
BusinessWeek
March 21, 2005
Amy Borrus |
Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters. |
On Wall Street
October 1, 2009
Thomas O. Gorman |
SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
BusinessWeek
June 19, 2006
Catherine Yang |
The Fed: No More Hints Or Whispers Federal Reserve Chairman Bernanke's straight style forces Wall Street to think for itself. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
CFO
January 10, 2007 |
In Whose Best Interest? How Accounting Firms Would Change Their Industry... Why Performance Scorecards Still Fail... The Uninspired American Employee... M&A and Option Backdating... The CFO as Investor-Relations Professional... etc. |
Registered Rep.
September 1, 2005
Karen Donovan |
Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street. |
CFO
March 1, 2003
Tim Reason |
Two Weeks in January The SEC put much of the Sarbanes-Oxley Act into effect by passing a slew of new rules. Here's what was proposed and what was disposed. |
CIO
January 1, 2002
Ben Worthen |
How to Talk to Wall Street Advice to CIOs that talk to stock analysts. |
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. |
| Knowledge@Wharton |
From Consolidation to Regulation FD: Financial Services Face a Major Upheaval Consolidation. Regulation FD. Conflicts of interest. Global competition. In discussing the state of the financial services industry, it's hard not to reference the events of Sept. 11. Yet even before that day, the industry was facing significant change on a number of fronts... |
CFO
March 15, 2006
Julia Homer |
Going Public Perhaps nothing symbolizes the complete emergence of the CFO as a public figure more than the SEC's decision to require disclosure of CFO compensation in proxy statements. |
CFO
August 1, 2002 |
TGIM A funny name for the erstwhile PwC Consulting... WorldCom gets caught in a storm... executives are asked to swear; securities suits target nontechs... etc. |
CFO
September 1, 2003
Alix Nyberg |
Sticker Shock When Congress passed the Sarbanes-Oxley Act of 2002, it didn't worry about how much it would cost companies. Today, CFOs are totting up the compliance bill -- and they don't like what they see. |
Wall Street & Technology
June 29, 2005
Maria Santos |
Thomsen Replaces Cutler at SEC Enforcement Head The SEC named Linda Chatman Thomsen director of the division of enforcement. Thomsen joined the SEC in 1995 and has served as the enforcement division's deputy director since 2002. |
CFO
October 1, 2006
Lori Calabro |
Lee Ainslie: Not Hedging a Bit An interview with Maverick Capital's Lee Ainslie III on why CFOs, investors, and regulators should not be scared of hedge funds. |
