MFA Comment Letters

Related Rules: 72 FR 400

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

MFA Files Joint Comment Letter to California Department of Corporations on Proposed Rule Requiring Hedge Fund Managers to Register with the State11.21.07


MFA and the Coalition of Private Investment Companies submit a joint comment letter to the California Department of Corporations on […]

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Topics: 2003 staff report accredited investor standard, accredited investors, Agreement Among PWG and U.S. Agency Principals on Principles and Guidelines Regarding Private Pools of Capital, assets under management, AUM, Board of Governors of the Federal Reserve System (FED), brokerage firms, California, California Corporate Securities Law, California Public Employees' Retirement System, CalPERS, capital calls, CFTC, chief investment officer, Coalition of Private Investment Companies, Commisioner of the California Department of Corporations, Commodity Futures Trading Commission, Congress, CPIC, Data, de minimis standard, Department of Corporations, Department of the Treasury, due diligence, electronic filing, Exempt Advisers, Exemption, fiduciary standards, financial market, financial products, Form D, Fraud, fund advisers, fund of funds, global alternative investment industry, hedge funds, implications of the growth of hedge funds, Industry Standards, industry trends, initial statement of reasons, investment adviser, investment advisers, Investor Protection, Investor's Committee of the Advisory Group, James Chanos, jobs, jurisdiction, liquidation restrictions, liscensing exemption, locked up, London, managed future funds, national markets, New York, office rents, oversight, Pension Funds, pooled investment vehicles, President's Working Group on Financial Markets, Private Offering, private offerings, privately-offered pooled investment vehicles, professional asset managers, proposal, public, PWG, qualified purchasers, Redemptions, registered investment companies, registrant, requirement, risk, San Francisco, SEC, Securities and Exchange Commission, Sound Practices for Hedge Fund Managers, spillover effect, start-up companies, state registration, support services, tax revenues, The Bureau of National Affairs, training personal, venture capital,

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