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Journal Articles

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

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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
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Journal Articles

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

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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
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Journal Articles

SEC adopts amendments to regulation SHO

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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
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Journal Articles

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

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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
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Journal Articles

SEC amends the Advisers Act custody rule

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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
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