Distribution Insights and Alerts

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.

August 01, 2023

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.

April 28, 2023

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