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MFA Comment Letters

› Issues & Policy

Topic: harmonize compliance obligations

MFA Files Petition for Rulemaking to Amend Certain CPO/CTA Recordkeeping Requirements07.21.14


MFA, jointly with the Investment Adviser Association and the Alternative Investment Management Association, submitted a petition to the Commission to […]

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Topics: IAA AIMA, Investment Adviser Association, Alternative Investment Management Association, CFTC, Commodity Futures Trading Commission, recordkeeping, adviser registration, recordkeeping requirements, commodity pool operator, CPO, commodity trading advisor, CTA, permissible entity, no-action relief, Petition for Rulemaking, investment management industry, pooled investment vehicles, separate account structure, investment adviser, commodity, burdensome, electronic recordkeeping regulations, Investment Company Institute, ICI, National Futures Association, NFA, SEC, Securities and Exchange Commission, examination, broker-dealer, futures commission merchant, FCM, introducing broker, forwards, forward transactions, Word Perfect, harmonize compliance obligations, registered investment companies, brokerage, custodian, Transfer Agent, harmonization, U.S. Department of Justice, third-party recordkeeper, compliance burden,

MFA Submits Comments to CFTC Regarding the JOBS Act07.17.12


MFA submitted comments to the CFTC urging it to harmonize its regulations with the JOBS Act, which eliminates the prohibition […]

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Topics: harmonize compliance obligations harmonization, Commodity Futures Trading Commission, CFTC, registered investment companies, JOBS Act, General Solicitation, General Advertising, Ban on General Solicitation and Advertising, no-action relief, commodity pool operator, CPO, hedge funds, safe harbor, qualified purchaser, adviser registration, CPO registration requirements, commodity interest trading, Securities and Exchange Commission, SEC, accredited investor, bank, Federal Securities Laws, regulation, de minimis exemption, Obama Administration, privately-offered funds, securities, security-based swaps, investment adviser, collective trust fund,

MFA Submits Comment Letter to CFTC on Harmonization Proposal on Compliance Obligations04.24.12


MFA submitted comments to the CFTC on its Harmonization Proposal on compliance obligations for the operators of registered investment companies […]

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Topics: CFTC Commodity Futures Trading Commission, SEC, Securities and Exchange Commission, commodity pool operator, Regulation 4.5 Harmonization, harmonize compliance obligations, registered investment companies, RICs, CPO, privately-offered funds, investment advisers, Part 4 regulations, disclosure documents, prospectus delivery, financial reporting obligations, pool participant, disclosure of fees, certification language, funds, securities, prospective investor, exchange-traded funds, ETF, transparency, accessibility, privately-offered pools, public pools, foreign exchange, international disclosure standards, International Organization of Securities Commissions, IOSCO, Dodd-Frank Wall Street Reform and Consumer Protection Act, Dodd-Frank Act, commodity interests, swaps, U.S. investors, prospectus, SEC Form N-1A, SEC Form N-2, JOBS Act, Ban on General Solicitation and Advertising, mutual fund prospectus, filing deadline, audited financial statements, quarterly account statements, NFA, National Futures Association, fund of funds, Hard-to-Value Assets, illiquid assets, Third Party Service Providers, Investment Adviser Association, CTA, commodity trading advisor, commodity ETF, Form ADV, Karen L. Barr,
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