MFA Comment Letters

Topic: U.S. Congress

MFA Comments to SEC Regarding Proposals to Revise Limited Offering Exemptions in Regulation D10.19.07


MFA submits a comment letter to the SEC regarding their proposals to revise the limited offering exemptions in Regulation D.

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Topics: Limited Coffering Exemptions global alternative investment industry, hedge funds, managed futures funds, policymaker, flexibility, issuers, Accerdited Investor, accredited natural person, offers, securities, limited announcement, offering, pooled investment vehicles, transactions, Public Offerings, General Solicitation, General Advertising, investor, accredited investor, higher dollar-amount thresholds, qualification, capital, Private Pooled Investment Vehicle Release, financial sophistication standards, federal regulations, natural persons, privated pools of captial, inflation, financial eligibility standard, joint income thresholds, Office of Economic Analysis, capital formation, compliance, implications of the growth of hedge funds, Offerings, private placement offerings, qualifies purchasers, Qualified Purchaser Definition, Qualified Client Definition, marital assets, Joint Investments, qualified client, qualified purchaser, Subscription Agreement, pooled investment fund, subscription agent, sophisticated investors, United States, Future Inflation Adjustment, dollar-amount threshols, private placement, knowledgeable employees, Trust Grantors, Trustees, beneficiaries, Sophisticated Investor Standards, risk, transaction costs, economic efficiency, Investor Protection, Investor relations professionals, research analysts, attorneys, traders, brokers, traders of a fund affiliate, senior financial, operational, accounting officers, risk/return, deferred compensation, net worth, investments tests, Issuer, fund principals, pooled investment funds, retention tool, start up company, sotck, equity owners, primary beneficiary, Grandfathered, inflation adjustments, dollar-amount thresholds, grandfather provision, due diligence, committed capital, Interation Safe Harbor, transparency, Manner of Offering, sale limitations, Disqualification Provisions, predecessor, affiliated issuer, director, executive officer, general partner, managing member, 20% beneficial owner, promoter, cease and desist, Fraud, Form D, blue sky filing, bad actor disqualification provisions, recdivism, Division of Enforcement, U.S. Congress, Securities and Exchange Commission, SEC, threshold,

MFA Comments to SEC on Proposed Rule Change by American Stock Exchange to List and Trade Shares of Nuveen Commodities Income and Growth Fund10.15.07


MFA submits comments to the SEC on an American Stock Exchange (“AMEX”) rule proposal which would permit commodity pools to […]

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Topics: Securities and Exchange Commission American Stock Exchange Pursuant, Nuveen commodities Income and Growth Fund, Amex, closed-end exchange-listed commodity pool, future offerings, Portfolio Holdings, closed-end commodity pool, investor, share, liquidity, market price per share, redeemable security, surplus, Issuer, proportionate share, net assets, cash equivalent, net asset value per share, NAV, demand, supply asset-classes, investment strategies, exchange traded fund, ETF, baskets, net asset value per basket, qualified institutions, portfolio holding, disclosures, securities, daily portfolio composition information, Redemption, creation or redemption transactions, hegde, exposure, robust secondary market, index-tracking vehicles, transparency, index mutual fund, commodity pool, redeemable shares, significant premium, discount, potential harm, closed-end fund, portfolio composition rules, Commodity Futures Trading Commission, CFTC, market participants, exchange-listed pool, trading posistions, reverse engineer, front-run, National Futures Association, NFA, futures industry, Interpretive Notice, equitable principles, commodity futures business, commodity trading advisor, CTA, investment adviser, hedge funds, managed future strategies, Closed-End Registered Investment Companies, RIC, closed-end exchange-traded registered investment companies, Great Depression, exchange-traded commodity pools, continuous offering, redeemable securities, U.S. Congress, Listed Company Manual of the NYSE, SEC,
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