Fidelity Penalty May Win Grace With Regulators Tom Leswing, Ignites, December 27, 2006.

E-mail policies universal, but some BDs ignore attachments, survey shows BD Week, November 27, 2006.

Email Surveillance Has Increased Visibility Into Potential Risk Exposure Sarbanes-Oxley Compliance Journal, November 22, 2006.

Snooping on employee e-mail may be necessary, says Fortiva Nestor Arellano, IT World Canada, Nov. 20, 2006.

Jury's Out on Email Scrutiny Kelly Higgins, Dark Reading, November 15, 2006.

Cox Morphs Into Regulatory Champion Financial Week, August 3, 2006.

Ask the Expert: Q & A with Jeffrey Plotkin TE3C Newsletter, Spring/Summer 2006.

Deloitte Opens New Practice, Keeping Public Companies on Straight, Narrow is Focus
Denise Trowbridge, The Columbus Dispatch, May 6, 2006.

U.S. Sentencing Panel Rethinks Waiver Policy
Paul J. Martinek, Compliance Week, March 28, 2006

What Does the Cox Era Portend for the SEC?
Carole E. Curtis, Securities Industry News, February 27, 2006.

A Swing at the SEC
Carole E. Curtis, Securities Industry News, October 7, 2005.

The Inside Scoop: Insider Trading Isn't Always Illegal - Here's How to Tell the Difference
Kate Fodor, The Scientist September 12, 2005.

Store and Deliver: Why Broker-Dealers Can't Archive
Carol Curtis, Securities Industry News, July 25, 2005.

Exit the Enforcer
Carol Curtis, Securities Industry News, May 30, 2005.

Putnam Delivers Settlement Distribution Plan
Alison Sahoo, Ignites Magazine, May 23, 2005.

SEC Slams Raymond James' Rail Against E-Mail Policy
Evelyn Juan, Wall Street Letter, May 23, 2005.

SEC Probe Could Move Squawk Boxes Off the Floor
Evelyn Juan, Wall Street Letter, May 2, 2005.

Raymond James Challenges SEC on Email Retention
Evelyn Juan, Wall Street Letter, May 2, 2005.

NASD Proposes Filing Ads for New Products
Evelyn Juan, Wall Street Letter, April 18, 2005.

New SEC Hotline Fields Complaints About Exams
Alison Sahoo, Ignites Magazine, March 2, 2005.

Employee Use of Personal Accounts, Wireless Communications, Among Growing E-Concerns
Internet Law & Regulation (Pike & Fisher), October 22, 2004.

Legislation Requiring Businesses to Archive E-Mails Boosts Revenue of Messaging Companies
Chet Dembeck, The Daily Record (Baltimore), July 26, 2004.

Big brother is reading your e-mail
Stan Luxenberg, Investment News, November 3, 2003.

Confidentiality At Treasury Seen as Issue In Insider Case
Jonathan Fuerbringer, New York Times, September 9, 2003.

Do Not Delete, New Regulations call for financial firms to save their instant messages. Now they have to figure out what that means.
Daniel Nasaw, Wall Street Journal, June 16, 2003.

Disgruntled investors take action
Lauren Foster, Financial Times, March 13, 2003.

Do Not Delete! Regulators show they're willing to play hardball, fining five Wall Street firms a total of over $8 million for failing to preserve e-mail
Cristina McEachern, Wall Street & Technology Online, Jan. 17, 2003.

Asbestos Claims Hurt Halliburton Insurance Spinoff, Lawyers Ask Whether Parent Company Hid Information During Cheney's Watch
James V. Grimaldi, Washington Post, Aug. 18, 2002.