MFA submitted a comment letter to the SEC on FINRA’s rule 2810 with respect to trail commissions along with the […]
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Issues & Policy 
MFA Comments to SEC on FINRA Regulation of Compensation, Fees and Expenses in Public Offerings of Real Estate Investment Trusts and Direct Participation Programs06.04.08
MFA submitted a comment letter to the SEC on FINRA’s rule 2810 with respect to trail commissions along with the […]
Topics: Securities and Exchange Commission SEC, Financial Industry Regulatory Authority, FINRA, federal register, underwriting compensation, Commodity Pools, futures commission merchants, brokers, futures execution, broker-dealer, National Association of Securities Dealers, NASD, commodity, Commodity Futures Trading Commission, CFTC, Direct Participation Programs, DPPs, futures brokerage trail commission, trail commission, underwriter, R.J. O'Brien Fund Management LLC, R.J. O'Brien, introducing brokers, IBs, National Futures Association, NFA, CPOs, futures trading advisers, mutual fund, exchange-traded funds, ETF, exchange-traded notes, Motor Vehicle Manufacturers v. State Farm, diversify, exposure, price discovery, risk transference, Treasury bills, liability, transparency, net asset valuation, redemption rights, regulatory oversight, registration requirements, disclosure requirements, suitability standards, solicitation restriction, blue sky regulators, diversification, prospectus supplement, investor suitability requirement, North American Securities Administrators Association Guidelines for Registration of Commodity Pool Programs, NASAA, short-term capital gain, short-term capital loss,