MFA Comment Letters

Topic: registered investment advisers

Comment Letter to the SEC on Establishment of a Registration Regime for Municipal Advisors as Required by the Dodd-Frank Act.02.22.11


MFA submitted a comment letter to the SEC in response to its proposal to establish a registration regime for municipal […]

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Topics: ABN AMRO Bank N.V. affiliate letters, ancillary services, bank deposits, CFTC regulation, commodity for future delivery, commodity trading advisors, common control, CTAs, dually-registered investment advisers, duplicative registration, exempt reporting advisers, foreign private advisers, Form ADV, Form MA, guaranteed investment contracts, investment advisers, investment advisory services, investment strategies, Kleinwort Benson Investment Management Limited, mid-sized adviser, multi-jurisdictional advisory firms, municipal advisor, municipal advisors, municipal advisory activities, municipal derivatives, municipal escrow investments, municipal financial products, municipal securities, Murray Johnstone Holdings Limited, no-action letters, option, participating affiliate agreements, pay to play rule, pooled investment vehicle, pooled investment vehicles, pools of assets, primary investors, private adviser exemption, private fund advisors, private fund managers, registered advisor, registered broker-dealer, registered CTAs, registered investment advisers, regular oversight, regulated persons, Royal Bank of Canada, SEC, SEC No-Action Letter, SEC oversight, SEC regulation, SEC resources, SEC-registered entities, Securities and Exchange Commission, securities futures product, Security-Based Swap, self-regulatory entity, solicitation, state entity, state securities commission, state-registered investment advisors, third-party solicitor, transition period for registration, Uniao de Banco de Brasileiros, venture capital funds,

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: algorithm alternative trading systems, asset classes, automated trading, bid-ask spreads, broker dealers, buyers, cancellation rate, capital allocation, capital formation, co-location, competitive barriers, connectivity vendors, dark pools, decimalization, Designated Market Maker, direct market access, ECN, efficiency, electronic communication networks, electronic trading desks, electronically accessibel quotes, endowments, Equity Market Structure, execution speed, fees, fixed income, foundations, France, frontrunning, Germany, global financial crisis, hedging, HFT, high frequency trading, institutional investors, insurance companies, inter-market arbitrage, Intermarket Trading System Plan, inventory risks, investment time horizon, investor confidence, ITS, Japan, large cap stocks, limit orders, liquidity, long-term investors, low latency technology, market color, market consolidation, Market Crash of 1987, market depth, market fragmentation, market maker, momentum ignition, mutual fund, Nasdaq, National Association of Securities Dealers Inc., National Market System, New York Stock Exchange, non-public trading, NYSE, Office of Economic Analysis, order anticipation, order cancellations, order handling rules, order protection rule, pensions, phantom liquidity, pinging, post-trade execution, post-trade transparency, price discovery, price swings, private investment pools, proprietary trading, public information, quantitative strategies, quote flickering, registered investment advisers, regulation ATS, Regulation NMS, retail investors, risk management, SEC, sector change, Securities and Exchange Commission, securities lending, sellers, short selling, short-term traders, small cap stocks, specialist quotes, sponsored access, spreads, technology, trading desk, trading volume, transaction costs, transparency, Treasury ETF, trends, U.S Treasury bonds, U.S. Department of Justice, United Kingdom, upstairs market, volatility,

MFA Comments to SEC on Custody of Funds or Securities of Clients by Investment Advisers07.28.09


MFA submitted a letter to the Securities and Exchange Commission today in response to its proposed amendments to its custody […]

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: adviser advisers, and VI(B)(1), arrangements, attorney-client privilege, August 2007 New York Regional Office Examination Request Letter, bankruptcy workout, broker-dealer, candidates, CCO Seminars or Roundtables, CCOutreach National Seminar, chief compliance officer seminars and roundtables, Chief Compliance Officers, Code of Ethics, compliance, complianceAlert, conflicts of interest, consistency, corporate insiders, data mining, Director of SEC's Office of Compliance and Inspections and Examinations, examination process, Federal Securities Laws, focus group, Form ADV Part II, hedge fund advisers, I(G), II(A)(2), II(A)(3), II(H)(1), III(M)(1), III(M)(3), III(N)(1), III(N)(2), IIIJ(1), Investor Protection, IX(F)(2)m X(I)(2), legal risk, Lori A. Richards, medium, Microsoft Excel spreadsheets, National society of compliance Professionals National Membership Meeting, New York Regional Office, Ninth Annual IA Compliance Best Pracitces SUmmit 2007, Office of Compliance Inspections and Examinations (OCIE), operations, periodic examinations, Pilot program, portfolio allocation, potential transactions, pre-examination letters operational resources, public, public company affiliation, public pension funds, registered investment advisers, registrants, regulations, relative, reqests II(D)(1), Request II(A)(1), Request II(B)(3), Request II(D)(3)(e), Request II(G)(1), Request II(J)(1), Request IV(A)(1)m block trades, Request V(A)(4), request V(G)(1), risk-based approach, risks, sales coverage, SEC, Securities and Exchange Commission, shareholder communications, standardized presentations, surveillance, technology, V(E)(2), V(E)(3), VIII(G), written complaint,
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