MFA Comment Letters

Topic: John G. Gaine

MFA Letter to IRS Regarding Compliance Issues for Private Investment Funds Filing a Foreign Bank and Financial Accounts Report05.13.09


MFA submitted a letter as a follow up to its meeting on April 7 with officials from the IRS to […]

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Topics: adverse guidance AML program rule, banks, Betty Santangelo, board directors, bonds, brokerate accounts, Carl E. Kennedy, checking, commodity pool operators, commodity trading advisors, compliance, control the disposition, cost-efficient, covered financial accounts, demand, deposit, derivatives, Detroit Computing Center of the Internal Revenue Service, domestic feeder fund, domestic limited liability companies, domestic limited partnerships, Don Carbaugh, Don Moorehead, equity interest, FBAR, FBAR Requirements, federal register, federal tax return, filing exception, Financial Crimes Enforcement Network, FinCEN, flow through, Foreign Bank and Financial Accounts Reports, foreign currencies, foreign securities, Form 1040, Form 1065, Form 1120, Form 5500, Form 990, Form 990-PF, Form TD 90-22.1, Form TD F 90-22, Form TDF 90-22.1, Fund Managers, general definitions, Glen Kirkland, group filings, hedge funds, illiquid, Internal Revenue Service, interpretive guidance, IRS, IRS Reports Clearance Officer, John G. Gaine, legislators, limited liability companies, lock-up periods, master-feeder structures, mutual fund, Nancy Rose, notes, Office of Chief Counsel, OMB No. 1545-2038, Partnerships, Patton Boggs LLP, pooled interest, President's Working Group on Financial Markets, prior submissions, private equity, private investment funds, publicly-traded corporations, PWG, Question 7a, Question 9, Questioon 6a, regulations, savings, schedule B, Schedule N, Schulte Roth & Zabel LLP, Side-by-Side Structure, signature authority, SRZ, stock certificates, tax forms, tax-exempt organization, taxpayer identification number, U.S. tax-exempt investors, United States Department of the Treasury, William Langford,

MFA Letter to IOSCO Technical Committee Short Selling Task Force on Regulatory Approaches to Short Selling12.23.08


MFA sent a letter to the IOSCO Technical Committee Short Selling Task Force providing comments to regulatory approaches to short […]

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Topics: "delta" hedge aggregate basis, algorithmic trading, alternative investment vehicles, artificial price movements, automated systems, bid-ask spreads, bilateral swaps, broker-dealer, buy-side firms, capital markets, capital raising, chilling effect, clearing brokers, closed-out, CNS, Continuous Net Settlement, convertible bond, custodian banks, decimal pricing, derivatives, derivatives trading, distressed companies, easy to borrow shares, Electronic Blue Sheet system, endowments, Equity Security, European Corporate Governance Institute, exchanges, executing brokers, Financial Industry Regulatory Authority, FINRA, Florence Harmon, foundations, fraudulent short selling activity, hard to borrow shares, headline risk, hedge, hedging, high-volume trading, institutional investors, international harmonization of regulations, International Organization of Securities Commissions, John G. Gaine, liquidity, listed derivatives, locate, long positions, manipulative naked short selling, manual trading, market bubbles, market efficiency, market liquidity, market participants, Martin Wheatley, money managers, naked short selling, Nasdaq-listed securities, National Securities Clearing Corporation, NSCC, NYSE, NYSE-listed securities, OATS, Order Audit Trail System Rules, Order Tracking System, OTC derivatives, OTC equity securities, OTS, over-the-counter derivatives, pensions, Pre-borrow Emergency Order, pre-borrow requirement, price discovery, prime broker, proprietary investment strategies, public disclosure, reconciliation, registered market centers, Regulation Filing Applications, reverse engineer, risk, risk management, SEC, Securities and Exchange Commission, securities depositaries, sell-side firms, settlement, settlement date, short interest positions, short sale reporting, short selling, short squeeze, sub-penny quotes, swap, synthetic positions, systematic disturbances, Technical Committee of the International Organization of Securities Commissions, threshold security, trade reconciliation, transparency, unintentional failures to deliver, uptick rule, upward market manipulations, Yale International Center for Finance,
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