Narrow search
Showing 1 - 4 of 4
Cover Image
SEC adopts amendments to regulation SHO
Forbes, Jessica; Gnall, Gregory P.; Lombardo, Christine M. - In: The journal of investment compliance 11 (2010) 3, pp. 14-20
Persistent link: https://www.econbiz.de/10008638720
Cover Image
FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities
Forbes, Jessica; Gnall, Gregory P. - In: The journal of investment compliance 11 (2010) 2, pp. 42-46
Persistent link: https://www.econbiz.de/10008431857
Cover Image
SEC releases study on the fiduciary duty of investment advisers and broker-dealers
Forbes, Jessica; Gnall, Gregory P. - In: The journal of investment compliance 12 (2011) 2, pp. 4-8
Persistent link: https://www.econbiz.de/10009164557
Cover Image
SEC amends the Advisers Act custody rule
Forbes, Jessica; Molle, Mark - In: The journal of investment compliance 11 (2010) 2, pp. 36-39
Persistent link: https://www.econbiz.de/10008431859