Sarbanes-Oxley

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• CNBC Exclusive: Quattrone Talks About IPO Rules--And His Future Thursday, 25 Jan 2007 | 1:58 PM ET

  Frank Quattrone, once the top investment banker in Silicon Valley until he was charged in 2003 with covering up IPO abuses, is planting the seeds of his comeback. Quattrone, who was cleared last year, spoke exclusively with CNBC Senior Correspondent Scott Cohn, his first interview in nearly four years.

• Does Anyone Like Sarbanes-Oxley? Anyone? Monday, 22 Jan 2007 | 12:12 PM ET

  Sarbanes-Oxley may never work its way into the hearts and minds of Wall Street. The regulation came under attack yet again today (see earlier post on Mayor Michael Bloomberg and NYC's financial services) as a reason New York City and the U.S. are losing their financial edge to cities like London. The complaint is the 2002 law is too much and too costly to obey. And that's driving IPOs, hedge funds and the like...

• Bloomberg: Wall Street "Crumbling" As Financial Leader Monday, 22 Jan 2007 | 10:32 AM ET

  

  It's almost the end of the financial world as we know it-- in New York City. At least that's according to New York Mayor Michael Bloomberg (R) and Sen. Chuck Schumer (D-NY). Both men say NYC--and the U.S. for that matter-- are losing their competitive edge as leaders in financial dealings. Today--the politicos released a study done by the mayor's office and consultant group McKinsey that apparently proves the point.

• Sarbanes-Oxley: Hurting Or Helping U.S. IPOs? Tuesday, 16 Jan 2007 | 11:17 AM ET

  Many in the U.S. business community are concerned over regulations that they think are hurting them in key areas--like IPOs. According to the Committee on Capital Markets Regulation--the U.S. raised only 5% of the value of global IPOs last year. That's compared to 50% in 2000.

• Fund Manager: Small Caps Still Strong in 2007 Tuesday, 2 Jan 2007 | 10:07 AM ET

  It's true the blue-chip Dow Industrials set the most watched records in 2006, but, once again, it was actually small caps that reigned supreme. For the 8th consecutive year, the Russell 2000 posted better returns than the S&P despite predictions the rally for the little guys would come to an end. Will the small caps winning streak continue in '07? 

• SEC Chairman Cox: Agency Has Better Tools In Place Than Ever Before Thursday, 14 Dec 2006 | 5:11 PM ET

  In an exclusive interview with CNBC,  SEC Chairman Christopher Cox said the agency is in its best shape ever to oversee a variety of regulatory issues simultaneously, whether it's options backdating or keeping a watchful eye on the derivatives market.

• SEC Votes To Increase Net Worth Hurdle for Hedge Fund Investors Wednesday, 13 Dec 2006 | 4:58 PM ET

  Regulators voted on a proposal that would raise the hurdle investors must meet in order to enter the fast-growing world of hedge funds.