MFA Comment Letters

Topic: American Bar Association

MFA Petitions the CFTC to Exclude Certain Employee Pools from the Definition of “Pool”08.30.12


MFA petitioned the CFTC to provide an exclusion from the definition of commodity “pool” for certain internally owned entities, including […]

MFA Comments to SEC on Pay to Play Proposal10.06.09


MFA submitted a letter to the SEC today in response to its proposal to, among other things, restrict political contributions […]

Click to expand relevant topics

Topics: Securities and Exchange Commission SEC, pay to play practices, government assets, political contributions, investment adviser, investment management services, government entities, third party placement agents, municipal securities, Municipal Securities Rulemaking Board, MSRB, investment management industry, municipal underwritings, municipal securities underwriters, municipal securities professional, chief compliance officer, American Bar Association, Committee on Federal Regulation of the American Bar Association, state and local entities, legal authorities, compliance burden, agency, authority, instrumentality of the State, plan, program, pool of assets, political action committee, inauguration or transition committee, local or state political party, Foundation, charitable institution, government official, Regulators, covered associates, general partner, executive officer, Broker, Dealer, municipal securities business, municipal securities representative, municipal securities principals, sales principals, principal business unit, look-back provision, look-back period, securities firms, academic institutions, chilling effect, soliciting, personal political activities, beneficial owners, family members of covered associates, portfolio manager, written compliance policies and procedures, pre-approval procedures, disproportionately severe punishment, private fund, limited partnership, redemption rights, public pension plans, interest, contractual rights and obligations, management fees, liquidity, fund assets, redemption requests, investment services, fiduciary duty, assets, compensation arrangements, institutional investor, incentive fee structure, backward-looking provisions, operational challenges, compliance procedures, pooled investment vehicle, de minimi exception, returned contribution, Inadvertent Violation, inadvertent contribution, covered investment pool, registered investment companies, publicly offered securities, fund of funds, direct investment, platform arrangement, direct investors, third party placement agent, pension, third party solicitors, placement agent, hedge fund managers, hedge funds, offshore managers, marketing activities, broker-dealer, requests for proposals, due diligence, investment advisory services, investment techniques, investment objectives, risk management, anti-competitive effects, California Public Employees' Retirement System, CalPERS, CalSTRS, Los Angeles County Employees' Retirement System, Los Angeles City Employees' Retirement System, New Mexico Educational Retirement Board, Teacher Retirement System of Texas, Pennsylvania Public School Employees' Retirement System, Pennsylvania State Employment Retirement System, Connecticut, Massachusetts, Oklahoma, Washington, New York State Common Retirement Fund, New York City Employees' Retirement System, New Mexico Investment Council, New York, Illinois, pay to play scandals, Disclosure, transparency, state and federal laws, regulations, registration, cash solicitation, Wall St. Journal, code of ethics rule, compliance costs, Form ADV, registered investment adviser, unregistered adviser, pre-approval policies, affiliated broker-dealer,

MFA Submits Comments to SEC on Proposals for Accredited Natural Person and Antifraud Rules03.09.07


MFA submits comment letter and attachment to the SEC on Proposals for Accredited Natural Person and Antifraud Rules.

Click to expand relevant topics

Topics: Securities and Exchange Commission SEC, private investment vehicles, Accredited Natural Person Proposal, Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles, Investor Protection, alternative investment industry, capital markets, hedge funds, managed futures funds, President's Working Group on Financial Markets, PWG, private pools, liquidity, price efficiency, risk distribution, Regulatory Structure, direct investment, Christopher Cox, Robert Steel, venture capital, private equity, industry innovation, Department of the Treasury, cash room, Randal Quarles, Senate Committee on Banking Housing and Urban Affairs, risk-adjusted performance, accredited investor standard, financial eligibility standards, accredited investor, pooled investment vehicles, net worth threshold, financial eligibility standard, Pui-Wing Tam, Jonathan Shieber, Stephen Heuser, qualified client, qualified purchaser, qualified institutional buyer, qualified eligible person, eligible contract participant, joint property, net worth, Office of Economic Analysis, 3(c)(1) funds, illiquid investments, real estate, Lock-up, U.S. economy, Stuatory Authority, 100 beneficial owners, beneficial owners, 3(c)(7) funds, deferred compensation, fund employees, American Bar Association, research analysts, legal counsel, traders, broker dealers, attorneys, brokers, compliance, operational, accounting officers, grandfathering provision, competition, start-up funds, antifraud proposal, Goldstein decision, scienter, transparency, dialogue, Request for Proposal, private placement memorandum, Limited Partnership Agreement, Subscription Agreement, due diligence, management, incentive compensation, conflicts of interest, side letters, withdrawal, transfer procedures, tax issues, ERISA Issues, Thomas Lemke,
  • Page
  • 1