MFA submitted a comment letter to the SEC in response to its notice of a proposal by FINRA to adopt […]
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Issues & Policy 
Comment Letter on SECs Notice of a Proposal by FINRA to Adopt New Rule 5123, Private Placements of Securities11.14.11
MFA submitted a comment letter to the SEC in response to its notice of a proposal by FINRA to adopt […]
Topics: Securities and Exchange Commission SEC, Financial Industry Regulatory Authority, FINRA, offering proceeds, offering expenses, offering compensation, private offerings, sophisticated investors, Federal Securities Laws, due diligence, qualified purchasers, registered investment adviser, qualified clients, beneficial owners, hedge funds, accredited investors, knowledgeable employees, net worth calculation, net worth threshold, SEC-registered investment advisers, hedge fund managers, solicitation services, SEC-registered hedge fund managers, material information, disclosure requirements, safe harbor, General Advertising, Public Offering, non-public offerings, Congress, investment manager, the Exchange Act, self-regulatory organization, efficiency, competition, capital formation, private placements, mandatory disclosure regime, disclosure regime,