MFA Comment Letters

Related Legislation: Section 3(c)(7) of the Investment Company Act

Petition to SEC for Rulemaking on Rule 502 of Regulation D, Ban General Solicitation01.06.12


MFA submitted a comment letter to the SEC requesting that the Commission amend Rule 502(c) of Regulation D to eliminate […]

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Topics: Petition for Rulemaking Securities and Exchange Commission, SEC, Offers or Sales Securities, Private Funds Managers, Economic Growth, Competitiveness, Job Creation, Independent Regulatory Agencies, Investor Protections, Offerings or Sales, private funds, Administrative Costs, sophisticated investors, House of Representatives, United States Congress, Ban on General Solicitation and Advertising, Senate, Public Offering, investment company, Interpretive Framework, Broadcast Over Television, Radio, Fund Managers, Issuer, Selling Agent, Pre-Existing Substantive Relationship, Continuous Offerings, Limited Partnerships, Broker, accredited investors, Pre-Existing Relationship Doctrine, Qualified Potential Investors, Industry Conferences, Inquiries, Legal Costs, Business Practices, transparency, hedge funds, Policy Makers, Regulators, Proprietary Investment Data, Systemic Risk Assessment, Over-the-Counter Derivatives Markets, Disclosure, Third-Party, oversight, Private Offering, prime brokers, Auditors, General Solicitation, General Advertising, Fraud, Unsophisticated Investors, Ban on General Solicitation, Protecting Investors: A Half Century of Investment Company Regulation, Division of Investment Management, Investor Criteria, qualified purchasers, Division of Corporation Finance, Anti-Fraud Provisions, Wealth Tests, Federal Securities Laws, Chairman Schapiro, Congressman Darrell Issa, House Committee on Oversight and Government Reform, Investor Protection, capital formation, Inadvertent Violation, Waiting Period, Consulting Firm, Subscription Agreement,

MFA Letter to SEC Chairman Cox Regarding Hedge Fund Transparency and Other Issues04.24.08


MFA President and CEO, Richard H. Baker, met with SEC Chairman Christopher Cox this morning and discussed the topics addressed […]

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Topics: Securities and Exchange Commission SEC, Christopher Cox, alternative investment industry, Policy Makers, Regulators, investors, hedge funds, hedge fund offerings, transparency, hedge fund investors, capital markets, systemic risk, General Solicitation, Ban on General Solicitation and Advertising, General Advertising, safe harbor, Regulation D, hedge fund managers, sophisticated investors, accredited investors, qualified purchasers, private offerings, securities, Protecting Investors: A Half Century of Investment Company Regulation, Division of Investment Management, United States Congress, Implications of the Growth of Hedge Funds Staff Report to the United States Securities and Exchange Commission, Rulemaking, advertising materials, Clover Capital no-action letter, staff guidance, no-action letters, accredited natural person, large accredited investor, Federal Securities Laws, inflation, mutual recognition, Nancy Morris, regulatory barriers, Cross-Border Investments, market participants, transaction costs, global capital markets, financial services industry, Australia, European Union, EU, Canada, broker-dealer, best practices, Sound Practices for Hedge Fund Managers, NYRO OCIE, chief compliance officer, trade associations, Commodity Futures Trading Commission, CFTC, Memorandum of Understanding, public commodity pools, National Futures Association, NFA, Financial Industry Regulatory Authority, FINRA, public commodity pool offerings, futures, futures market, pooled investment vehicle, public offering disclosure requirements, Direct Participation Programs, DPP, annual cap, lifetime cap, offering proceeds, trail commissions, managed futures, brokers,
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