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Related Publications
09/27/11
Research, Marketing, Financing and Selling Restrictions Relating to ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session II
(pdf)
09/20/11
Issues for Broker-Dealers acting as APs or LMMs for ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session I
(pdf)
June 3–June 4, 2010
Investment Company Regulation and Compliance, presented at an ALI-ABA Conference, Washington, D.C.
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