MFA Comment Letters

Topic: Equity Security

Comment Letter Responding to SECs Proposed Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers01.24.11


MFA submitted a comment letter to the SEC in response to the SECs proposal Exemptions for Advisers to Venture Capital […]

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Topics: Securities and Exchange Commission SEC, Exemptions, venture capital funds, Private Fund Advisers, assets under management, foreign private advisers, Exemptions Release, Private Fund Registration, Statutory Exemption, commodity trading advisors, Single Investor Private Funds, investor, Commodity Futures Trading Commission, commodity trading advisor, CTA, Securities-Related Advice, CFTC, Peavey Commodity Futures Fund, SEC No-Action Letter, 1983 SEC No-Act. LEXIS 2576, Tonopah Mining Co. of Nevada, 26 S.E.C. 426, Subadvisers, Subsidiary Advisers, Regulatory Authority, Investment Adviser Industry, Specialized Expertise, Foreign Advisers and Subadvisers, no-action letters, Domestic, Non-U.S. Investment Advisory Firms, Control, Participating Affiliate, Mercury Asset Management Plc., affiliate letters, Registered and Non-Registered Entities, Factual Representations, Associated Persons, Full Regulatory Access, oversight, Non-Registered Adviser, Multi-Jurisdicational Advisory Firms, Non-U.S. Activities, systemic risk, Hedge Fund Adviser Registration Rules, Unio de Banco de Brasileiros S.A., Kleinwort Benson Investment Management Limited, AMRO Bank N.V., Royal Bank of Canada, ABA Subcommittee on Private Investment Entities, Compliance and Management Structures, Non-Control, affiliated entities, U.S. law, Non-U.S. Law, Affiliated Person, Form ADV, private fund, Master-Feeder Structure, Side-by-Side Structure, Specialized Feeder, Outstanding Voting Securities, pooled investment vehicle, limited partnership, Limited Liability Company, Independent Verification of Assets Requirement, general partner, Nominal Capital Account, Limited Partner, Instrument, total return swap, Record Owner, Equity Security, prudential regulators, Secretary of the Treasury, Security-Based Swap, Staff Responses to Questions About the Custody Rule, Question VI.11, Voting Rights, Redemption, Transparency Rights, regulatory assets under management, de minimis exemption, Regulatory Assets, separate account structure, Gross Assets Calculation, Fair Value, valuation methodology,

MFA Letter to IOSCO Technical Committee Short Selling Task Force on Regulatory Approaches to Short Selling12.23.08


MFA sent a letter to the IOSCO Technical Committee Short Selling Task Force providing comments to regulatory approaches to short […]

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Topics: International Organization of Securities Commissions Technical Committee of the International Organization of Securities Commissions, Martin Wheatley, John G. Gaine, short selling, international harmonization of regulations, Securities and Exchange Commission, SEC, market participants, institutional investors, Florence Harmon, price discovery, market bubbles, market liquidity, liquidity, hedging, risk management, upward market manipulations, derivatives, derivatives trading, capital markets, over-the-counter derivatives, OTC derivatives, listed derivatives, convertible bond, distressed companies, "delta" hedge, capital raising, naked short selling, locate, settlement, settlement date, FINRA, Financial Industry Regulatory Authority, broker-dealer, systematic disturbances, risk, closed-out, trade reconciliation, prime broker, algorithmic trading, executing brokers, registered market centers, threshold security, bid-ask spreads, uptick rule, decimal pricing, high-volume trading, sub-penny quotes, Equity Security, sell-side firms, buy-side firms, hard to borrow shares, easy to borrow shares, long positions, reconciliation, exchanges, short squeeze, pre-borrow requirement, market efficiency, Pre-borrow Emergency Order, automated systems, manual trading, securities depositaries, custodian banks, Continuous Net Settlement, CNS, European Corporate Governance Institute, Yale International Center for Finance, National Securities Clearing Corporation, NSCC, clearing brokers, artificial price movements, short sale reporting, fraudulent short selling activity, manipulative naked short selling, unintentional failures to deliver, proprietary investment strategies, OTC equity securities, short interest positions, Regulation Filing Applications, Order Audit Trail System Rules, OATS, Order Tracking System, OTS, Nasdaq-listed securities, NYSE-listed securities, NYSE, Electronic Blue Sheet system, public disclosure, pensions, endowments, foundations, headline risk, alternative investment vehicles, chilling effect, transparency, reverse engineer, money managers, aggregate basis, synthetic positions, bilateral swaps, hedge, swap,
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