MFA Comment Letters

Topic: technology

MFA Submits Comments on CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments12.11.13


MFA submitted comments to the CFTC regarding a concept release on risk controls and system safeguards for automated trading environments.  […]

MFA Submits Comments on Hong Kong Consultation on Electronic Trading09.23.12


On September 23, MFA submitted comments to the Hong Kong Securities and Futures Commission on its consultation paper on the […]

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 […]

Click to expand relevant topics

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 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.

Click to expand relevant topics

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,
Results 1 - 5 of 5