Distribution Content

Last month, FINRA filed with the SEC proposed amendments to Rule 2210 (Communications with the Public) (the "rule"). If adopted, the amendments would permit a FINRA member to project the performance or provide a targeted return with respect to a security or asset allocation or other...

Focus on Funds New Tool Eases Global Distribution Challenges Amid increasing regulatory pressures, funds and their distributors have a new, more efficient, and streamlined way to collaborate on oversight. In the August 14, 2020, edition of Focus on Funds, Ahmed Elghazaly, ICI director...

Focus on Funds Old Approaches to Fund Distribution Give Way to New Strategies In the August 16, 2019, edition of Focus on Funds, Sandy Bolton—Bank of America Merrill Lynch managing director, head of managed investments—discusses how funds have quickly adapted to drastic changes in...

Focus on Funds Fund Industry Is Swiftly Changing The American fund industry is undergoing transformation, as Shundrawn Thomas, executive vice president and head of funds and managed accounts for Northern Trust, explains in the June 16, 2017, edition of Focus on Funds. Transcript...