MFA Comment Letters

Topic: securities market

Comment Letter Regarding SEC Study on the Whether the Establishment of a Self-Regulatory Organization Would Improve the Frequency of Examinations of Investment Advisers12.16.10


MFA submitted a letter today providing comments to the SEC on Section 914 of the Dodd-Frank Act, which requires the […]

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Topics: assets under management broker dealers, broker-dealer, capital formation, CFTC, check-the-box, chief compliance officer, clearing, clearing agencies, Committee on Financial Services, Commodities Futures Trading Commission, compliance, Compliance Policies, counterparties, custody, Department of Labor, Department of the Treasury, derivative, derivatives trading activities, Disclosure, Dodd-Frank Act, fiduciary duty, Financial Industry Regulatory Authority, financial planners, Financial Stability Oversight Council, FINRA, forensic accounting, FSOC, hedge fund managers, initial margin, insider trading, investment activity, Investment Adviser Association and National Regulatory Services, investment adviser examination, investment advisory firm, Investor Protection, leverage, liquidation, major swap participants, msp, mutual fund, NASD, National Association of Securities Dealers, nregistered securities, Obama Administration's Financial Regulatory Reform Proposals, OCIE, Office of Compliance Inspections and Examinations, OTC derivatives, over-the-counter derivatives, over-the-counter securities markets, oversight, pension, private fund manager, purchase, registration, reporting, sale, SEC, Securities and Exchange Commission, securities lending, securities market, securities transactions, self-regulatory organization, short selling, small advisers, SRO, swap dealers, swaps, systemic risk, trading positions, traditional asset management firm, Transaction Reporting, transparency, U.S. House of Representatives, variation margin, wealth managers,

MFA Comments to the “Over-the-Counter Derivatives Markets Act of 2009”11.09.09


MFA submitted a letter to the Department of the Treasury regarding the Obama administration’s legislative proposal titled the “Over-the-Counter Derivatives […]

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Topics: AAA credit rating AIG, airline, American International Group, Bankruptcy Code, bankruptcy-remote, capital formation, capital restrictions, cash-settled contracts, central clearing, central clearinghouse, CFTC, collateral segregation, commodity, Commodity Futures Trading Commission, credit risk, custodian, dealers, Department of the Treasury, derivatives clearing organizations, derivatives transactions, end-users, endowments, energy companies, Enron Corporation, exchange trading, exchange-traded products, Gary Gensler, hedge funds, hybrid market, initial margin, institutional investors, insurance companies, ISDA product definitions, LBIE, legacy standardized swaps, Lehman Brothers, local governmental entities, Long Term Capital Management, Major Swap Participant, market manipulation, non-clearable trade, non-cleared swap transactions, non-dealer entities, Obama Administration, OTC derivatives, OTC derivatives market, over-the-counter derivatives, Pension Funds, physically-delivered commodities, position limits, pre-merger notification regime, private funds, proprietary assets, registered derivatives clearing organization, regulatory framework, risk management, SEC, Securities and Exchange Commission, securities dealers, securities market, security-based swaps, segregation, substantial net position, substantial unsecured net position, swap dealers, swap market participant, thrift and insurance holding company, trade and position reporting, unsecured current credit exposure, utilities, variation margin,
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