How to Create and Manage a Mutual Fund or Exchange-Traded Fund -- Contents -- Preface -- Acknowledgments -- About the Author -- Part One: Create and Manage a Mutual Fund -- Chapter 1: Why the World Needs Another Mutual Fund -- WHAT IS A MUTUAL FUND? -- SCANDALS -- REGULATIONS -- PRODUCTS -- PLAYERS -- GOING FOR THE BRASS RING -- Chapter 2: Money, Product Differentiation, and Distribution -- DETERMINE WORKING CAPITAL -- FORMULATE YOUR FUND'S MARKETING PLAN -- Chapter 3: Price and Customer Service -- PRICE -- PACKAGING -- Chapter 4: Spreading the Word with Promotion and Publicity -- PRE-EFFECTIVE PROMOTION -- CHOOSE A SPECIAL LAUNCH DATE -- START LOCALLY, GROW NATIONALLY -- RECYCLE, RECYCLE, RECYCLE -- GET EXISTING SHAREHOLDERS TALKING -- INCREASE WEB TRAFFIC -- INVESTMENT ADVISER, PORTFOLIO MANAGER, AND WRITER? -- GET DIRECT WITH YOUR MARKET -- GET MEDIA ATTENTION -- THE PHONE RINGS -- GETTING FACE TIME -- ADVERTISING -- TURN ADVERSITY TO YOUR ADVANTAGE -- CONCLUSION -- Chapter 5: Building Your Mutual Fund Team -- FUND SPONSOR -- THE BOARD -- INVESTMENT ADVISER -- SUBADVISER -- PORTFOLIO MANAGER -- SERVICE PROVIDERS -- BEYOND THE CORE GROUP -- CONCLUSION -- Chapter 6: The Steps to Start a Mutual Fund -- PHASE I: PRELIMINARY DECISION-MAKING -- PHASE II: FILING AND PREPARING FOR DAY 1 (T-0) -- SEEN BUT NOT REQUIRED -- PHASE III: THE DISTRIBUTION OF SHARES BEGINS: DAY 1 -- CONCLUSION -- Part Two: Create and Manage an Exchange-Traded Fund -- Chapter 7: ETFs: The Mutual Fund's Next Evolution -- WHY THIS IS A GOOD BUSINESS -- WHAT IS AN ETF? -- CREATION REDEMPTION PROCESS -- SUCCESS FACTORS -- CONCLUSION -- Chapter 8: Building Your Exchange-Traded Fund Team -- MANAGEMENT MEMBERS -- EXPERIENCE -- FLEXIBILITY -- PARTNER OR COMPETITOR -- YOUR PROTECTOR -- MISSING PIECES -- PRICE -- REFERENCES -- THEY INTERVIEW YOU -- ATTORNEY -- INDEPENDENT AUDITOR.

TRANSFER AGENT (TA) -- SHAREHOLDER SERVICING -- FUND ACCOUNTANT -- CUSTODIAN -- FUND ADMINISTRATION -- PRINCIPAL UNDERWRITER/DISTRIBUTOR -- OTHER ETF TEAM MEMBERS -- CONCLUSION -- Chapter 9: The Steps to Start an Exchange-Traded Fund -- PHASE I: PRELIMINARY DECISION-MAKING -- PHASE II: FILING AND PREPARING FOR DAY 1 (T-0) -- PHASE III: DISTRIBUTION OF SHARES BEGINS: DAY 1 -- Appendix A: What to Expect in Your First Year -- A VISIT BY THE SEC -- THE NINE FORMS -- FIRST ANNUAL AUDIT -- REVISIT YOUR BUSINESS PLAN -- ON YOUR ANNIVERSARY -- Appendix B: Selling Your Business -- THE SELLING PROCESS -- WORD OF CAUTION -- Appendix C: Useful Web Sites, Phone Numbers, and Additional Readings -- GOVERNMENT AGENCIES -- NONGOVERNMENT GROUPS -- BOOKS -- Appendix D: List of Service Provider Questions -- 40 ACT ATTORNEY -- INDEPENDENT AUDITOR -- THE SERVICE PROVIDER FIRM -- TRANSFER AGENT -- SHAREHOLDER SERVICING GROUP -- FUND ACCOUNTANT -- CUSTODIAN -- FUND ADMINISTRATION -- DISTRIBUTOR/PRINCIPAL UNDERWRITER -- PUBLIC RELATIONS -- PLATFORM SPONSOR (AS MARKETING OPPORTUNITY) -- FINANCIAL PRINTERS -- TRADING DESK BROKER-DEALER -- Afterword -- Notes -- Index.