MFA Comment Letters

Topic: Elizabeth Murphy

MFA Submits Comments in Response to SEC Proposed Amendments to Regulation D, Form D and Rule 15609.23.13


MFA submitted a letter to the Securities and Exchange Commission in response to proposed amendments to Regulation D, Form D […]

Click to expand relevant topics

Topics: accredited investor accredited investors, Advance Form D, adviser registration, anti-fraud rules, assets under management, AUM, Ban on General Solicitation and Advertising, beneficial owners, capital formation, capital markets, cease and desist, censure, CFTC, Colorado Bar Association, commodities, Commodity Futures Trading Commission, competition, compliance, compliance costs, cost-benefit analysis, deemed compliant, derivatives, disclosure requirements, Division of Investment Management, due diligence, efficiency, eligible purchasers, Elizabeth Murphy, equity, examination process, Federal Securities Laws, Form 13F, Form ADV, Form D, Form PF, Franklin Group of Funds, Fund Sponsors, general partner, General Solicitation, general solicitation materials, Global Investment Performance Standards, harmonization, hedge fund industry, hedge fund managers, hedge funds, high net worth requirements, institutional investor, interpretive guidance, investment company, Investor Protection, investor qualification standards, issuers, JOBS Act, John Thune, knowledgeable employees, legends, liquidity, market practices, marketing materials, mutual fund, natural persons, Norm Champ, OCIE, Office of Compliance Inspections and Examinations, Pacific Mutual Life Insurance Company, performance, pitch book, PLI Hedge Fund Management Conference, pool participants, private capital markets, private fund, private fund managers, private fund offerings, private placement memorandum, private placements, proprietary information, public markets, qualified clients, qualified purchasers, Ray Garrett, registered investment adviser, registered investment companies, Regulation D, retail investors, RICs, Rulemaking, Schedule 13D, SEC, Securities and Exchange Commission, sophisticated investors, state securities regulators, statement of policy, transparency, United States Congress, Variable Life, Verification Methods,

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 on IOSCO’s Consultation Report on ‘Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency,’08.12.11


MFA submitted comments to IOSCO on its consultation report on Regulatory Issues Raised by the Impact of Technological Changes on […]

Click to expand relevant topics

Topics: 1963 Special Study 1963 Special Study of the Securities Markets, 2010, affirmative stock locate framework, AIG, algorithmic trading, algorithms, Arndt, Barclays Capital Equity Research, Barclays Plc., bid-ask spreads, broker dealers, buy-side brokers, CFTC, circuit breakers, co-location services, computer programs, connectivity, Consultation Report, dark pools, DEA, Division of Risk, Dow Jones Industrial Average, E-Trade, Economic Growth, educational campaigns, effective spreads in European equities, efficiency, electronic markets, Elizabeth Murphy, empirical data, endowments, erroneous trades, ETFs, EU, executing brokers, execution speed, Fannie Mae, fees, Fidelity, fiduciary obligation, Financial Crisis of 2008, fixed commission rates, flash crash, Flash Crash of May 6, foundations, France, Freddie Mac, Germany, Goldman Sachs, Gomber, HFT, high frequency trading, institutional investor, institutional investors, insurance companies, intermediary firm, International Organization of Securities Commissions, investment time horizons, Japan, Joint Advisory Committee on Emerging Regulatory Issues, Joint Industry Limit Up-Limit Down Proposal, LaBranche, limit-up/limit-down systems, long-term, low latency, Lutat, market access, Market Break of 1962, Market Crash of 1987, market depth, market dislocations, market efficiencies, market information, market liquidity, market trends, Merrill Lynch, monopolies, Mr. Werner Bijkerk, mutual funds, Nasdaq, National Securities Clearing Corporation, NBBO, New York Stock Exchange, NSCC, Office of Markets in the Division of Risk, order execution, order-to-trade ratios, OSCO, oversight, passive, pensions, Peter Gomber, pricing reliability, proprietary, proprietary trading tools, quote stuffing, Regulatory Issues Raised by the Impact of Technological Change on Market Integrity and Efficiency, Rosenblatt Securities, Schwab, SEC, Securities Exchange Commission, single-stock circuit breakers, Spain, sponsored access, spreads, standardize disclosure, Strategy and Financial Innovation, Strategy and Innovation memorandum, TABB Group, TAGG Group, TD Ameritrade, Technical Committee, Technical Committee of the International Organization of Securities Commissions, technological developments, third party vendors, Thomson, threshold securities, trading strategies, transaction delivery, transaction fees, transparency, two-sided displayed quotes, Uhle, UK, wait-and-see, Washington Mutual,
Results 1 - 4 of 4