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Legal Underwriting + Placement Agent Services

Foreside distributes over $1 trillion of product for over 200 fund families through our broker-dealers. Foreside serves as the legal underwriter for registered funds (mutual funds, closed-end funds, and ETFs) and placement agent for private funds. Foreside provides our clients with an established broker-dealer framework and ongoing education to meet the changing SEC and FINRA regulatory landscape. Services include:

  • Reviewing, approving, and FINRA filing of fund marketing materials via our proprietary software, Foreside AdCompliance®, to facilitate compliance with SEC and FINRA regulations
  • Negotiating and maintaining broker-dealer and selling agreements to facilitate sales of fund shares
  • Administering Rule 12b-1 fees and any load payments
  • Sponsoring and maintaining an NSCC membership participant number for domestic funds, collective trusts or foreign registered funds allowing for a cost-effective and time-saving alternative to the direct NSCC membership process
  • For private placements, entering into sub-placement agent agreements with selling broker-dealers to facilitate the sales of fund shares

why foreside makes sense

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partnership for growth

We provide our clients the most innovative offerings that help drive their business forward. 

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Consultative + Comprehensive

We see regulation as a catalyst for innovation. 

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transformative tech

We apply best-in-class technology to address today’s regulatory reality and drive operational efficiency.