MFA Comment Letters

Topic: resecuritization

MFA Submits Joint Letter to SEC on Proposed Revisions to Rules to Shorten Restricted Security Holding Periods09.21.07


MFA submits comments to the SEC in a joint letter with the Securities Industry and Financial Markets Association and the […]

Click to expand relevant topics

Topics: Securities and Exchange Commission SEC, Securities Industry and Financial Markets Association, SIFMA, International Swaps and Derivatives Association, ISDA, securities, banks, asset managers, privately negotiated derivatives industry, hedge funds, managed futures funds, underwriter, security-holders, broker dealers, affiliates, Issuer, public markets, Investor Protections, public resales, Holding Period, liquidity, capital, tolling, restricted security holding periods, shell companies, equity securities, hedging activities, transaction, Securities Industry Association, Jesse M. Brill, SIA, brokerage firms, institutional investors, derivative positions, holding periods, hedging periods, long posistion, long-equivalent, short, short-equivalent, disaster recovery, business continuity, prime brokers, clearing brokers, Portfolios, risk management strategies, account managers, trading desks, institutional holders, significant costs, compliance, pilot basis, Net Notional Amounts, safe harbor, private capital formation, short call option posistion, shares, relevant unit, Aggression, Single Trading Strategy, business units, buy-side, sell side, information sharing, regulatory requirements, client confidentiality, holder, monitor, record, track, verify, market, client driven, Partial Hedging, doctrine of fungibility, convertible debt, noncovertible debt, restricted debt securities, credit exposures, Goldman Sachs & Co., pre-paid forward contracts, Goldman Sachs II, forward and option contractsm sales, Baskets of Securities or Indices, basket, index, Nonconvertible Debt Securities, Fixed Income Exchange, class relief, Powershares Exchange-Traded Fund Trust (ETF), exchange traded index funds (ETF), S&P 500 securities, New York Stock Exchange, Chicago Board Options exchange, Transfer Restrictions, bids, resecuritization, domestic issuers, Reasonale Belief, Reliance on Represenatons, internal information barrier, transparency, preferred stock, asset-backed securities, inter-dealer quotation systems, VWAP Trades, volume-weighted average prices, qualified institutional buyers, usual and customary, executioms, market makers, volume limitations, FINRA/NASD rule 2320, aggregate resales, Form 144, Form 4, restricted security holders, seller, Form D filing, unaffiliated seller, director, executive officer, ten percent beneficial owner, multiple accounts, portfolio managers, Restrictive legends, de-legending, private placement, Staff Interpretive Posistions, Cashless Exercises, deminimis exercise prices, nominal exercise prices, pennies per share, Former Shell Company, Form 10 information, over-the-counter derivatives, OTC derivatives, fund of funds, credit default swap, CDS, alternative trading systems, actual knowledge standard, FINRA, Financial Industry Regulatory Authority,
  • Page
  • 1