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ETF Solutions
Launch your ETF with experienced regulatory, compliance, and distribution support.
ACA Group’s Foreside, a Financial Industry Regulatory Authority (FINRA)-member broker-dealer, serves as a statutory distributor and legal underwriter, helping ETF managers navigate regulatory requirements. ACA Foreside helps firms:
- Support ETF launches: Access regulatory and operational expertise throughout the ETF launch process.
- Manage statutory distribution: Leverage broker-dealer infrastructure and statutory distribution support.
- Coordinate key providers: Align vendors and service providers involved in bringing an ETF to market.
- Strengthen ongoing compliance: Access regulatory and operational expertise to help manage evolving ETF compliance needs.
ACA Foreside supports more than 1,200 ETFs across 275+ managers.
Ready to launch or grow your ETF offering? Complete the form to discuss your compliance, operations, and distribution needs with ACA Foreside.
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Solutions needed to start an ETF
Whether you’re early in planning or refining your strategy, we’ll help you build the right team and streamline your path to launch.
What do you need help with?
Whether you're launching your first ETF or looking to streamline an existing one, we deliver tailored support at every stage—from structuring and setup to distribution and compliance oversight. ETF solutions we offer include:
As a FINRA-member broker-dealer, we serve as your statutory distributor. We review and approve marketing materials, facilitate and coordinate Authorized Participant (AP) agreements, and support AP order review and approval, as well as compliance oversight under Rule 38a-1.
Our marketing-material review process helps ETF issuers address applicable SEC and FINRA requirements, regulatory disclosures, and communication standards before materials are distributed.
We guide you through the process of registering your investment adviser, filing required forms, and aligning your business model to regulatory requirements.
Our scalable compliance solutions are designed to evolve with your fund, offering proactive guidance across all operational stages. We help firms strengthen compliance programs, oversee service providers, and address ongoing obligations associated with Rule 38a-1 and other regulatory requirements.
Our experienced compliance professionals serve as chief compliance officers and principal financial officer, helping you establish fund governance, maintain disclosure controls, and meet regulatory obligations.
Support for firms with registered representative needs, helping ensure your team meets licensing and compliance requirements.
We can connect you with trusted partners for essential services not offered by ACA Foreside, including:
- Legal counsel and listing exchanges
- Custodians, administrators, and transfer agents
- Liquidity providers and authorized participants
- Marketing, PR, and ETF intermediary support
Why ACA?
Proven experience and scale
Flexible engagement at every stage
Industry insights and connections
We stay ahead of the evolving global ETF marketplace by providing perspective and guidance and maintaining strong ecosystem connections.
Ready to launch and operate an ETF? We can help.
Discover how our ACA Foreside team can guide you from day one to daily operations — and beyond.
The ETF ecosystem: how it all connects
Bringing an ETF to market involves a complex network of service providers, regulatory bodies, and market participants—all working together to support the product from inception to investor execution.
This diagram illustrates the full ETF ecosystem, showing the flow of services, regulatory oversight, and investment activity that surrounds every ETF issuer. ACA plays a central role in this structure as a Medallion Distributor, ensuring compliance, coordination, and connectivity across the value chain.
Want to understand how your ETF fits into this framework? Our team can walk you through the process and help you engage with the right partners.
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FAQs
ETF Solutions
Are there white label / turnkey platforms to help me launch an ETF?
Yes. ACA Foreside is a named legal underwriter across the majority of white label / turnkey platforms. With our team’s experience, we help guide you and provide the necessary introductions to those platforms.
What are the potential benefits of launching an ETF?
ETFs offer intra-day liquidity, portfolio diversification, tax efficiency, transparency, and cost-effective operations. These investor-friendly features make ETFs a compelling product structure for asset managers.
How does the ETF creation and redemption process work?
ETFs use a creation and redemption process involving Authorized Participants (APs). APs create ETF shares by delivering a basket of securities and/or cash to the fund and redeem shares by returning ETF shares in exchange for securities and/or cash. This mechanism helps support liquidity and can help keep ETF market prices aligned with underlying portfolio values.
Can I work with my existing service providers when launching an ETF?
Yes, you can use your preferred custodians, administrators, or legal teams. We can work alongside them or recommend trusted partners experienced in ETF operations and compliance.
Do I choose where my ETF is listed?
Yes, as the issuer, you can select the exchange for your ETF listing, and your ACA Foreside team will help with introductions.
What is an Authorized Participant and why do I need one?
Authorized Participants (APs) are institutions that create and redeem ETF shares in the primary market. APs help maintain liquidity and support alignment between an ETF’s market price and the value of its underlying securities. The ACA Foreside team helps facilitate AP agreements, onboarding, and related operational coordination.
Why should fund issuers choose ACA Foreside for ETF services?
With more than 275 ETF managers supported and deep regulatory and operational expertise, our ACA Foreside team can help firms looking to launch and manage ETFs efficiently, compliantly, and with confidence.
How do ETF providers differ across the fund lifecycle?
ETF providers play different roles throughout the fund lifecycle. During launch, providers support activities such as fund formation, exchange listing preparation, service-provider selection, and distribution planning. Once an ETF is operational, providers, including advisers, custodians, administrators, market makers, APs, and distributors help support ongoing operations, compliance, creation and redemption activity, and investor communications.
How does Rule 38a-1 compliance oversight support ETFs?
Rule 38a-1 under the Investment Company Act requires registered investment companies to maintain compliance policies and procedures designed to help prevent violations of federal securities laws. Effective compliance oversight helps ETF sponsors monitor regulatory obligations, oversee key service providers, identify potential risks, and support operational compliance throughout the ETF lifecycle.
Why is marketing-material review important for ETF compliance?
Marketing-material review helps ETF sponsors ensure communications are fair, balanced, and consistent with applicable SEC and FINRA requirements. A structured review process can help validate disclosures, performance presentations, fund descriptions, and other communications before they are distributed to investors, financial professionals, or intermediaries.
Still have questions about launching an ETF?
We’re here to help. Fill out the form to discuss your goals and how we can support your ETF from concept to market.
