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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. 42-45
Persistent link: https://www.econbiz.de/10003993751
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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. 4-7
Persistent link: https://www.econbiz.de/10009236852
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SEC amends the Advisers Act custody rule
Forbes, Jessica; Molle, Mark - In: The journal of investment compliance 11 (2010) 2, pp. 36-38
Persistent link: https://www.econbiz.de/10003993749
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SEC issues Staff Legal Bulletin after four-year comprehensive review of proxy system
Sorkin, John E.; Pickering Bomba, Abigail; Epstein, Steven - In: The journal of investment compliance 16 (2015) 1, pp. 63-65
Persistent link: https://www.econbiz.de/10011344577