MFA Comment Letters

Related Legislation: Section 206 of the Investment Advisers Act of 1940

MFA Submits Letter in Response to SEC Investor Advisory Committee Recommendations on Implementation of the JOBS Act03.22.13


MFA submitted a comment letter to the Securities and Exchange Commission (SEC) in response to its proposed implementation of Section […]

Comment Letter Regarding SEC Study on the Whether the Establishment of a Self-Regulatory Organization Would Improve the Frequency of Examinations of Investment Advisers12.16.10


MFA submitted a letter today providing comments to the SEC on Section 914 of the Dodd-Frank Act, which requires the […]

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Topics: investment adviser examination self-regulatory organization, SRO, securities market, hedge fund managers, Securities and Exchange Commission, SEC, Commodities Futures Trading Commission, CFTC, private fund manager, capital formation, broker dealers, oversight, derivative, derivatives trading activities, investment activity, insider trading, short selling, Disclosure, purchase, sale, nregistered securities, broker-dealer, clearing agencies, over-the-counter derivatives, OTC derivatives, swap dealers, swaps, major swap participants, msp, initial margin, variation margin, transparency, Transaction Reporting, systemic risk, assets under management, leverage, trading positions, counterparties, liquidation, Investor Protection, Compliance Policies, chief compliance officer, Obama Administration's Financial Regulatory Reform Proposals, Committee on Financial Services, U.S. House of Representatives, Department of Labor, Department of the Treasury, National Association of Securities Dealers, NASD, over-the-counter securities markets, Office of Compliance Inspections and Examinations, OCIE, forensic accounting, compliance, registration, check-the-box, fiduciary duty, securities transactions, investment advisory firm, financial planners, traditional asset management firm, wealth managers, small advisers, mutual fund, pension, FINRA, Financial Industry Regulatory Authority, clearing, custody, securities lending, reporting, Financial Stability Oversight Council, FSOC, Investment Adviser Association and National Regulatory Services, Dodd-Frank Act,

MFA Letter to SEC Chairman Cox Regarding Hedge Fund Transparency and Other Issues04.24.08


MFA President and CEO, Richard H. Baker, met with SEC Chairman Christopher Cox this morning and discussed the topics addressed […]

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Topics: Securities and Exchange Commission SEC, Christopher Cox, alternative investment industry, Policy Makers, Regulators, investors, hedge funds, hedge fund offerings, transparency, hedge fund investors, capital markets, systemic risk, General Solicitation, Ban on General Solicitation and Advertising, General Advertising, safe harbor, Regulation D, hedge fund managers, sophisticated investors, accredited investors, qualified purchasers, private offerings, securities, Protecting Investors: A Half Century of Investment Company Regulation, Division of Investment Management, United States Congress, Implications of the Growth of Hedge Funds Staff Report to the United States Securities and Exchange Commission, Rulemaking, advertising materials, Clover Capital no-action letter, staff guidance, no-action letters, accredited natural person, large accredited investor, Federal Securities Laws, inflation, mutual recognition, Nancy Morris, regulatory barriers, Cross-Border Investments, market participants, transaction costs, global capital markets, financial services industry, Australia, European Union, EU, Canada, broker-dealer, best practices, Sound Practices for Hedge Fund Managers, NYRO OCIE, chief compliance officer, trade associations, Commodity Futures Trading Commission, CFTC, Memorandum of Understanding, public commodity pools, National Futures Association, NFA, Financial Industry Regulatory Authority, FINRA, public commodity pool offerings, futures, futures market, pooled investment vehicle, public offering disclosure requirements, Direct Participation Programs, DPP, annual cap, lifetime cap, offering proceeds, trail commissions, managed futures, brokers,
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