FINRA Rule 5131 Archives - Managed Funds Association

MFA Submits Comments to SEC on FINRA Rule 513112.20.13

MFA submitted a letter to the Securities and Exchange Commission in response to FINRA’s proposed change to its amendments to […]

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Topics: SEC Securities and Exchange Commission, FINRA, Financial Industry Regulatory Authority, Look Through, beneficial owner, indirect beneficial owner, investment adviser, allocation, distributions, control person, hedge fund, alignment of interests, institutional investors, Fund Manager, spinning, fund of funds, de minimis, SRO, self-regulatory organization, Marc Menchel,

MFA submitted a letter to the Securities and Exchange Commission in response to proposed amendments to FINRA Rule 5131 (New […]

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Topics: Securities and Exchange Commission SEC, FINRA, Financial Industry Regulatory Authority, hedge funds, Look Through, indirect beneficial owner, beneficial owners, fraudulent and manipulative acts and practices, Investor Protection, capital formation, compliance efforts, initial public offering, IPO, investor confidence, investment activity, portfolio, risk management, spinning, fund of funds, de minimi exception, control person, investment adviser, alignment of interests, institutional investor, Marc Menchel,

MFA submitted a comment letter to FINRA on Rule 5131, New Issue Allocations and Distributions. In the letter, we explain […]

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Topics: spinning direct funds, funds of hedge funds, investment funds, initial public offering, covered persons, covered company, de minimis exemption, broker-dealer, entity investor,

On August 19, MFA submitted a comment letter to FINRA on Rule 5131, New Issue Allocations and Distributions. In the […]

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Topics: New Issue Allocations and Distributions spinning, quid pro quo, initial public offering process, conflicts of interest, FINRA, IPO, anti-spinning, de minimis exemption, ownership interest, pooled investment vehicle, funds of hedge funds, profit, loss allocation, covered employees, unaffiliated pooled vehicles, investor privacy, confidentiality,