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Journal Articles

SEC approves new FINRA rules governing communications with the public

Joseph P. Kelly, II, Elliott R. Curzon

Journal of Investment Compliance (2012) 13 (3): 63–68.

https://doi.org/10.1108/15285811211266146

Published: 07 September 2012

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Journal Articles

SEC publishes risk alert on investment adviser use of social media

Keith T. Robinson, Joseph P. Kelly, II, Andrea E. Baron

Journal of Investment Compliance (2012) 13 (2): 44–47.

https://doi.org/10.1108/15285811211238147

Published: 08 June 2012

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Journal Articles

SEC permits mutual funds to use a summary prospectus and updates statutory prospectus requirements

Robert A. Robertson, Joseph P. Kelly, II

Journal of Investment Compliance (2009) 10 (2): 4–13.

https://doi.org/10.1108/15285810910971229

Published: 12 June 2009

View article titled, SEC permits mutual funds to use a summary prospectus and updates statutory prospectus requirements

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