Date: August 10, 2017 Understanding the Regulation of Exchange-Traded Funds Under the Securities Exchange Act of 1934 (pdf)
Date: May 23, 2017 Monitoring Direct-at-Fund Assets and Accounts with Grandfathered Compensation in Response to the DOL Fiduciary Rule (pdf)
Date: March 23, 2017 Market Access for Regulated Fund Managers in the United States and European Union (pdf)
Date: January 31, 2017 Disclosure of Noncash Compensation and Third-Party Payments in Response to the DOL Fiduciary Rule (pdf)
Date: January 31, 2017 Disclosure of Noncash Compensation and Third-Party Payments in Response to the DOL Fiduciary Rule (pdf)
Date: January 27, 2017 Operational Considerations of the DOL Fiduciary Rule for Accounts Held Direct-at-Fund (pdf)
Date: January 27, 2017 Operational Considerations of the DOL Fiduciary Rule for Accounts Held Direct-at-Fund (pdf)
Date: January 11, 2017 Evaluating Investor Communication Touchpoints in Response to the DOL Fiduciary Rule (pdf)