Date: May 23, 2022 How US-Registered Investment Companies Operate and the Core Principles Underlying Their Regulation (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)