SEC Archives - Managed Funds Association

MFA Submits Letter to SEC on Proposed Cross-Border Application of its Rules to Non-U.S. Persons07.13.15

MFA submitted a letter to the Securities and Exchange Commission (SEC) on its proposed rules on “proposed rules on “Application […]

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Topics: SEC Cross-Border, CFTC, prudential regulators, SBS,

MFA Comment Letter on SEC’s Proposed Rules under 12(g) of the Exchange Act03.06.15

On March 2, MFA submitted a comment letter in response to the Securities and Exchange Commission’s proposed rules to implement […]

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Topics: JOBS Act SEC, 12(g), Exchange Act,

MFA Writes SEC on Tick Test Pilot Program12.22.14

On December 22, 2014, MFA filed a comment letter to the SEC on the agency’s proposed Tick Test pilot program. MFA also referenced […]

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Topics: SEC tick test,

MFA Comment Letter to Prudential Regulators on Final Margin Requirements11.25.14

On November 24, MFA submitted a comment letter to the U.S. Prudential Regulators (Fed, FDIC, OCC, FCA and FHFA) to […]

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Topics: margin Regulators, FDIC, Fed, OCC, FCA, FHFA, swaps, EMNA, initial margin, BASEL, IOSCO, CFTC, SEC, Cross-Border,

MFA, ICI & SIFMA Order Routing Disclosure Template Recommendation to SEC10.23.14

On October 23, MFA, ICI and SIFMA submitted a letter and order routing disclosure template to Chair White for the […]

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Topics: ICI SIFMA, routing disclosure, SEC, Broker, institutional investors,

MFA Submits Request for No-Action Relief to CFTC on Package Transactions10.15.14

MFA submitted a request for no-action relief to the CFTC for the three categories of package transactions for which relief from the […]

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Topics: CFTC package transactions, SEF, swap execution facilities, Division of Market Oversight, DMO, Commodity Futures Trading Commission, Request for Relief, Trade Execution Requirement, Package Transaction, No-Action Letter 14-62, Division of Clearing and Risk, SEFs, designated contract markets, DCMs, derivatives clearing organizations, DCOs, future commission merchants, FCMs, No-Action Letter No. 14-21, facilitating trade execution, off-SEF, NAL 14-62, MAT, Non-MAT, request for quote, RFQ, International Swaps and Derivatives Association, ISDA, dealer-to-dealer, mortgage-backed security, MBS, invoice spreads, cash/futures basis packages, central limit order book, CLOB, non-USD swap spread, index CDS, single-name CDS, SEC,

MFA Submits Letter to UK FCA in Response to Discussion Paper on Dealing Commissions10.10.14

MFA submitted a letter to the UK FCA in response to its Discussion Paper on the use of dealing commissions. […]

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Topics: Wholesale Conduct Policy Team Financial Conduct Authority, ESMA, MiFID, MiFID II Level 2, unbundling, FCA, DP14/3, CP13/17, Oxford Economic Research Associates, OXERA, VAT, hard dollar, soft dollar, broker-dealer, sell side, Securites and Exchange Commission, SEC, UCITS, Directive and the Alternative Investment Fund Managers Directive,

MFA Submits Letter to Monetary Authority of Singapore in Response to Consultation on Outsourcing10.06.14

MFA submitted a letter to the Monetary Authority of Singapore (MAS) in response to its consultation papers on outsourcing. In the consultation […]

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Topics: Singapore Monetary Authority of Singapore, Outsourcing Workgroup, Banking Department II, MAS, overseas regulated financial institution, FI, Singapore Sub-Adviser, SEC, Securities and Exchange Commission (SEC), independent audit requirement,

MFA Shares Equity Market Structure Recommendations With Regulators09.30.14

The Managed Funds Association (MFA) today published strong, focused policy recommendations on equity market structure issues. The recommendations were shared […]

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Topics: SEC Securities and Exchange Commission, Equity Market Structure,

MFA Requests SEC for 60-day Tick Size Pilot Program Comment Period09.20.14

MFA submitted a letter to the SEC requesting it to provide a 60-day comment period on a proposed Tick Test Pilot Program, […]

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Topics: SEC Securities and Exchange Commission, FINRA, tick test, Mary Jo White, smaller capitalization, secondary markets, market capitalization, small cap stocks, National Securities Exchanges, tick size,

MFA Comment Letters

Topic: SEC