MFA Comment Letters

Topic: registered investment advisers

Comment Letter to the SEC on Establishment of a Registration Regime for Municipal Advisors as Required by the Dodd-Frank Act.02.22.11


MFA submitted a comment letter to the SEC in response to its proposal to establish a registration regime for municipal […]

Click to expand relevant topics

Topics: Securities and Exchange Commission SEC, municipal advisors, duplicative registration, investment advisers, commodity trading advisors, CTAs, pooled investment vehicles, municipal financial products, municipal securities, guaranteed investment contracts, investment strategies, municipal escrow investments, pools of assets, pooled investment vehicle, municipal advisor, primary investors, private fund managers, solicitation, common control, third-party solicitor, SEC regulation, CFTC regulation, regulated persons, registered broker-dealer, pay to play rule, SEC-registered entities, registered investment advisers, registered CTAs, municipal advisory activities, municipal derivatives, commodity for future delivery, option, securities futures product, Security-Based Swap, bank deposits, investment advisory services, ancillary services, registered advisor, regular oversight, state-registered investment advisors, exempt reporting advisers, state entity, self-regulatory entity, state securities commission, mid-sized adviser, participating affiliate agreements, no-action letters, affiliate letters, SEC resources, multi-jurisdictional advisory firms, venture capital funds, private fund advisors, foreign private advisers, SEC No-Action Letter, Uniao de Banco de Brasileiros, Kleinwort Benson Investment Management Limited, Murray Johnstone Holdings Limited, ABN AMRO Bank N.V., Royal Bank of Canada, SEC oversight, transition period for registration, private adviser exemption, Form MA, dually-registered investment advisers, Form ADV,

Comment Letter to SEC Responding to Concept Release on Equity Market Structure05.07.10


MFA submitted a letter to the SEC in response to its request for comments on its Equity Market Structure Concept […]

Click to expand relevant topics

Topics: Securities and Exchange Commission SEC, Equity Market Structure, order handling rules, regulation ATS, decimalization, Regulation NMS, institutional investors, retail investors, liquidity, bid-ask spreads, transaction costs, technology, non-public trading, risk management, broker dealers, capital formation, long-term investors, short-term traders, registered investment advisers, private investment pools, pensions, endowments, foundations, insurance companies, direct market access, sponsored access, low latency technology, high frequency trading, HFT, automated trading, investor confidence, trading volume, order cancellations, market maker, specialist quotes, algorithm, quantitative strategies, global financial crisis, frontrunning, order anticipation, public information, momentum ignition, dark pools, Office of Economic Analysis, post-trade execution, National Market System, electronic communication networks, ECN, alternative trading systems, Intermarket Trading System Plan, ITS, Nasdaq, electronically accessibel quotes, New York Stock Exchange, NYSE, U.S. Department of Justice, National Association of Securities Dealers Inc., proprietary trading, electronic trading desks, inventory risks, inter-market arbitrage, price discovery, spreads, fees, execution speed, market depth, efficiency, transparency, Japan, Germany, United Kingdom, France, hedging, Market Crash of 1987, asset classes, fixed income, buyers, sellers, market fragmentation, investment time horizon, capital allocation, mutual fund, trading desk, competitive barriers, U.S Treasury bonds, Treasury ETF, large cap stocks, small cap stocks, securities lending, quote flickering, phantom liquidity, cancellation rate, limit orders, order protection rule, market consolidation, Designated Market Maker, volatility, short selling, market color, trends, sector change, co-location, price swings, pinging, upstairs market, post-trade transparency, connectivity vendors,

MFA Comments to SEC on Custody of Funds or Securities of Clients by Investment Advisers07.28.09


MFA submitted a letter to the Securities and Exchange Commission today in response to its proposed amendments to its custody […]

MFA Letter to SEC on August 2007 New York Regional Office Examination Request Letter12.20.07


MFA submits comments to the SEC on the August 2007 New York Regional Office Examination Request Letter.

Click to expand relevant topics

Topics: August 2007 New York Regional Office Examination Request Letter Office of Compliance Inspections and Examinations (OCIE), New York Regional Office, Chief Compliance Officers, registered investment advisers, periodic examinations, Pilot program, compliance, Federal Securities Laws, regulations, Investor Protection, hedge fund advisers, advisers, legal risk, examination process, pre-examination letters operational resources, registrants, risks, risk-based approach, Lori A. Richards, Director of SEC's Office of Compliance and Inspections and Examinations, CCOutreach National Seminar, National society of compliance Professionals National Membership Meeting, surveillance, complianceAlert, Ninth Annual IA Compliance Best Pracitces SUmmit 2007, CCO Seminars or Roundtables, chief compliance officer seminars and roundtables, focus group, reqests II(D)(1), public company affiliation, relative, corporate insiders, request V(G)(1), Request II(J)(1), bankruptcy workout, Request II(G)(1), II(H)(1), IIIJ(1), III(M)(1), III(M)(3), III(N)(1), III(N)(2), conflicts of interest, sales coverage, adviser, broker-dealer, operations, technology, I(G), II(A)(2), II(A)(3), and VI(B)(1), Microsoft Excel spreadsheets, data mining, medium, standardized presentations, V(E)(2), V(E)(3), VIII(G), IX(F)(2)m X(I)(2), written complaint, shareholder communications, public pension funds, candidates, Request II(A)(1), attorney-client privilege, potential transactions, arrangements, Request II(B)(3), portfolio allocation, consistency, Request II(D)(3)(e), Request IV(A)(1)m block trades, Request V(A)(4), Code of Ethics, public, Form ADV Part II, Securities and Exchange Commission, SEC,
  • Page
  • 1