Jessica Forbes
Close
Follow your search
Access your saved searches in your account
Would you like to receive an alert when new items match your search?
Close Modal
Sort by
Journal Articles

SEC issues Staff Legal Bulletin after four-year comprehensive review of proxy system

John E. Sorkin, Abigail Pickering Bomba, Steven Epstein, Jessica Forbes, Peter S. Golden, Philip Richter, Robert C. Schwenkel, David Shine, Arthur Fleischer, Gail Weinstein
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (1): 63–65.
https://doi.org/10.1108/JOIC-01-2015-0006
Published: 05 May 2015
View article titled, SEC issues Staff Legal Bulletin after four-year comprehensive review of proxy system
Open the PDF for SEC issues Staff Legal Bulletin after four-year comprehensive review of proxy system in another window
Add to Citation Manager for SEC issues Staff Legal Bulletin after four-year comprehensive review of proxy system
Journal Articles

SEC releases study on the fiduciary duty of investment advisers and broker‐dealers

Jessica Forbes, Gregory P. Gnall
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (2): 4–7.
https://doi.org/10.1108/15285811111142847
Published: 14 June 2011
View article titled, SEC releases study on the fiduciary duty of investment advisers and broker‐dealers
Open the PDF for SEC releases study on the fiduciary duty of investment advisers and broker‐dealers in another window
Add to Citation Manager for SEC releases study on the fiduciary duty of investment advisers and broker‐dealers
Journal Articles

SEC adopts amendments to regulation SHO

Jessica Forbes, Gregory P. Gnall, Christine M. Lombardo
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2010) 11 (3): 14–19.
https://doi.org/10.1108/15285811011082197
Published: 14 September 2010
View article titled, SEC adopts amendments to regulation SHO
Open the PDF for SEC adopts amendments to regulation SHO in another window
Add to Citation Manager for SEC adopts amendments to regulation SHO
Journal Articles

FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities

Jessica Forbes, Gregory P. Gnall
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2010) 11 (2): 42–45.
https://doi.org/10.1108/15285811011056394
Published: 16 June 2010
View article titled, FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities
Open the PDF for FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities in another window
Add to Citation Manager for FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities
Journal Articles

SEC amends the Advisers Act custody rule

Jessica Forbes, Mark Molle
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2010) 11 (2): 36–38.
https://doi.org/10.1108/15285811011056376
Published: 16 June 2010
View article titled, SEC amends the Advisers Act custody rule
Open the PDF for SEC amends the Advisers Act custody rule in another window
Add to Citation Manager for SEC amends the Advisers Act custody rule
This Feature Is Available To Subscribers Only

or Create an Account

Close Modal
Close Modal