MFA Comment Letters

Related Rules: Rule 10b-5

MFA Submits Comments in Response to SEC Proposed Amendments to Regulation D, Form D and Rule 15609.23.13


MFA submitted a letter to the Securities and Exchange Commission in response to proposed amendments to Regulation D, Form D […]

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Topics: Securities and Exchange Commission SEC, Regulation D, Form D, market practices, JOBS Act, General Solicitation, private placements, capital formation, Investor Protection, transparency, private fund, private capital markets, hedge funds, issuers, due diligence, John Thune, registered investment companies, RICs, private fund managers, examination process, Office of Compliance Inspections and Examinations, OCIE, hedge fund industry, assets under management, AUM, Form ADV, state securities regulators, Form PF, proprietary information, Rulemaking, adviser registration, Norm Champ, Division of Investment Management, PLI Hedge Fund Management Conference, Advance Form D, cost-benefit analysis, compliance costs, registered investment adviser, hedge fund managers, compliance, public markets, Fund Sponsors, United States Congress, capital markets, Form 13F, Schedule 13D, censure, cease and desist, Verification Methods, accredited investor, general solicitation materials, legends, disclosure requirements, anti-fraud rules, performance, sophisticated investors, high net worth requirements, institutional investor, private fund offerings, retail investors, private placement memorandum, Ban on General Solicitation and Advertising, accredited investors, efficiency, competition, pitch book, marketing materials, beneficial owners, equity, natural persons, eligible purchasers, general partner, Federal Securities Laws, deemed compliant, Pacific Mutual Life Insurance Company, Variable Life, Franklin Group of Funds, investment company, statement of policy, mutual fund, interpretive guidance, commodities, derivatives, liquidity, qualified purchasers, qualified clients, Global Investment Performance Standards, investor qualification standards, knowledgeable employees, harmonization, Elizabeth Murphy, Commodity Futures Trading Commission, CFTC, pool participants, Ray Garrett, Colorado Bar Association,

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 Submits Comments to SEC on Proposals for Accredited Natural Person and Antifraud Rules03.09.07


MFA submits comment letter and attachment to the SEC on Proposals for Accredited Natural Person and Antifraud Rules.

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Topics: Securities and Exchange Commission SEC, private investment vehicles, Accredited Natural Person Proposal, Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles, Investor Protection, alternative investment industry, capital markets, hedge funds, managed futures funds, President's Working Group on Financial Markets, PWG, private pools, liquidity, price efficiency, risk distribution, Regulatory Structure, direct investment, Christopher Cox, Robert Steel, venture capital, private equity, industry innovation, Department of the Treasury, cash room, Randal Quarles, Senate Committee on Banking Housing and Urban Affairs, risk-adjusted performance, accredited investor standard, financial eligibility standards, accredited investor, pooled investment vehicles, net worth threshold, financial eligibility standard, Pui-Wing Tam, Jonathan Shieber, Stephen Heuser, qualified client, qualified purchaser, qualified institutional buyer, qualified eligible person, eligible contract participant, joint property, net worth, Office of Economic Analysis, 3(c)(1) funds, illiquid investments, real estate, Lock-up, U.S. economy, Stuatory Authority, 100 beneficial owners, beneficial owners, 3(c)(7) funds, deferred compensation, fund employees, American Bar Association, research analysts, legal counsel, traders, broker dealers, attorneys, brokers, compliance, operational, accounting officers, grandfathering provision, competition, start-up funds, antifraud proposal, Goldstein decision, scienter, transparency, dialogue, Request for Proposal, private placement memorandum, Limited Partnership Agreement, Subscription Agreement, due diligence, management, incentive compensation, conflicts of interest, side letters, withdrawal, transfer procedures, tax issues, ERISA Issues, Thomas Lemke,
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