Date: October 28, 2021 Expand Your Career Network: Frank Talk from Smaller Asset Management Firms Slides (pdf)
Date: October 18, 2021 Protecting Nonpublic Personal Information in a Data-Driven Distribution Model (pdf)
Date: October 11, 2021 Rule 17a-7 at the Crossroads: Supplemental Information on Equity Cross Trading (pdf)
Date: May 25, 2021 Effect of March 2020 on Fixed-Income Markets and Open-End Funds: Holistic Review and Policy Implications: Summary of Proceedings and Key Points
Date: April 29, 2021 A Study of the Performance of Money Market Funds and the Short-Term Funding Markets During March 2020: Summary of Proceedings and Key Points