Distribution Insights and Alerts

View our latest articles and insights on best practices and trends in distribution. 

Latest insights and alerts

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The Slippery Slope of Private Fund Manager Issuer Exemption

For firms marketing privately-issued securities, whether as a private fund manager or issuer, ensuring their activity is compliant with FINRA or SEC regulations is essential.

Article
  • Distribution
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Are You FINRA Licensed?

Many asset managers come to us when they find out they can no longer rely on the issuer exemption and are faced with the dilemma of their staff promoting their funds. We break down the requirements to help you avoid this issue.

Article
  • Distribution
  • FINRA
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Market Makers – What You Should Know

Market makers are broker-dealer firms that provide pricing for ETFs and liquidity in the secondary market.

Article
  • Distribution
ACA Global

White Paper: Building and Distributing an Exchange-Traded Fund from Start to Finish

In this guide, we walk you through everything you need to know to start launching an exchange-traded fund (ETF), including the differences between ETFs and other product offerings, startup costs, necessary service providers, and how to gain assets via distribution.

Report
  • Distribution
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The Expanded ETF Ecosystem

Discover how the landscape of ETFs is evolving as funds are increasingly shifting away from daily holdings disclosures. Gain expert guidance on navigating this changing landscape and embracing the new wave of semi-transparent ETFs.

Report
  • Distribution
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A Primer in Launching an ETF Under a Turn-Key Structure

Looking to launch an ETF? We share what you need to know to get started including costs, timing, and resources required.

Article
  • Compliance
  • Distribution

Events

2024 FINRA Hot Topics and Priorities

Join us when we discuss how the recently released 2024 examination priorities may impact you and your compliance program.

Webcast