North American Securities Administrators Association Archives - Managed Funds Association - MFA

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› Issues & Policy

Topic: North American Securities Administrators Association

MFA Submits Comments on NASAA Proposed Revisions to Statement of Policy for the Registration of Commodity Pool Programs11.27.06

MFA submits comments on proposed revisions to the NASAA Statement of Policy on the Registration of Commodity Pool Programs.

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Topics: Massachusetts Office of the Secretary of the Commonwealth, statement of policy, commodity pool programs, North American Securities Administrators Association, NASAA, commodity pool, hedge funds, fund of funds, commodity pool operator, CPO, commodity trading advisor, CTA, futures commission merchants, FCM, broker-dealer, Direct Participation Programs, DPP, inflation, net worth, Federal Securities Laws, investor, retirement plan, pension plans, Commodity Futures Trading Commission, CFTC, Securities and Exchange Commission, SEC, National Futures Association, NFA, National Association of Securities Dealers, NASD, disclosure requirements, blue sky laws, regulation, defined benefit plan, illiquid, mutual funds, stock, self-regulatory organization, SRO, liquidity, Redemption, net asset value, NAV, United States Congress, 401(k), Individual Retirement Account, IRA, Keogh plan, alternative investment, tax, maximum investment clause, Issuer, diversification, brokerage firms, prospectus, tax benefits, fair dealing, stocks, bonds, parent company, investment strategies, fees, futures, sophisticated investors, financial institutions, compliance, enforcement,

MFA Comments to SEC on Concept Release Concerning Management’s Reports on Internal Controls09.18.06

MFA submits to the SEC comments on its concept release concerning management’s reports on internal controls.

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Topics: Securities and Exchange Commission SEC, financial reporting obligations, commodity pool, hedge funds, fund of funds, alternative investment vehicles, commodity pool operator, CPO, commodity trading advisor, CTA, smaller public companies, public commodity pools, prospective rule, Commodity Futures Trading Commission, CFTC, National Futures Association, NFA, registered investment companies, RICs, net asset value, NAV, Federal Securities Laws, self-regulatory organization, SRO, financial statements, Certified Public Accountant, futures commission merchants, FCM, Broker, registration statement, Form S-1, Form 10, blue sky laws, North American Securities Administrators Association, NASAA, regulatory audit, subsidiary ledger, securities, general ledger, asset, liability, capital, income, expense, statement of financial condition, advertising materials, commodity, price, Arizona, California, Massachusetts, Ohio, Texas, Oklahoma, Alabama, Iowa, Alaska, Pennsylvania, New Jersey, Minnesota, Committee of Sponsoring Organizations of the Treadway Commission, directors, limited liability companies, cost-benefit analysis, liquid assets, mark-to-market, banks, securities dealers, Auditing Standard No. 2, compliance requirements, rate of return, Public Company Accounting Oversight Board, AS2, efficiency, competition, capital formation, Peter Wallison,