Distribution Insights and Alerts

May 07, 2024

Non-traditional closed-end interval and tender offer funds constitute an important segment of the investment industry. Their unique structure allows asset managers to deliver alternative and illiquid investment strategies to a broad investor base.

March 15, 2024

We partnered with K&L Gates to look back at the evolution of the ETF industry in the U.S. over the past 30 years. The themes highlighted in this paper will likely guide the continuing evolution of ETFs.

November 30, 2023

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.

November 01, 2023

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.

September 06, 2023

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

August 16, 2023

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.