Barbara Mallon and Dexter Johnson authored the chapters “Investment Adviser Regulation” and “Private Placement of Securities”, respectively, for the 2003 edition of the Illinois Continuing Legal Education Securities Law Handbook. (June 2003).

Barbara Mallon published “Limited Safe Harbor for Soft Dollar Payments Resulting from Principal Transactions” in Compliance Checks, Volume II, Issue 5 (May 2002)..
Currents published Ms. Mallon’s article “Supervising Sub-Advisers: The Legg-Mason Case”, in the April/May 2002 issue.

Barbara Mallon authored “Supervising Registered Representatives who are Independent Registered Investment Advisers,” in Compliance Checks, Volume I, Issue 5 (September 2001).

Dexter Johnson published “Securities Allocations: SEC v. Alan Bonds,” in Compliance Checks, Volume I, Issue 4 (August 2001).

Dexter Johnson authored “The First Global No-Action Letter,” in Compliance Checks, Volume I, Issue 3 (July 2001).

Dexter Johnson authored the article “Privacy of Consumer ‘s Financial Information,” in Compliance Checks, Volume I, Issue 1 (May 2001).

Dexter Johnson authored “Staying out of Trouble with the SEC: Tips for Brokerage Firms,” in The Practical Lawyer (January 1998).

Mr. Johnson published “The Role of Institutional Investors After the Securities Reform Act,” in the Winter 1998 issue of The Securities Regulation Law Journal.

Dexter Johnson published “No One Escapes,” a summary of supervisors’ liability in Registered Representative. (October 1997).

Barbara Mallon and Dexter Johnson co-authored “SEC Enforcement,” a chapter for the 1996 Supplement to the Illinois Continuing Legal Education Securities Law Handbook.(June 1996).

Barbara Mallon authored the article “Impact of the 1996 Reform Act on Investment Advisers” for Charles W. Schwab’s newsletter, Compliance Review for Investment Managers.(December 1996).