2025 ACA Conference
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Distribution Insights and Alerts
View our latest articles and insights on best practices and trends in distribution.
Latest insights and alerts
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
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
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
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
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
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