MFA Comment Letters

Topic: technology

MFA Submits Comments on CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments12.11.13


MFA submitted comments to the CFTC regarding a concept release on risk controls and system safeguards for automated trading environments.  […]

MFA Submits Comments on Hong Kong Consultation on Electronic Trading09.23.12


On September 23, MFA submitted comments to the Hong Kong Securities and Futures Commission on its consultation paper on the […]

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 […]

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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 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.

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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,
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