MFA submitted comments to FINRA in response to its Notice-to Members 11-04 on proposed amendments to FINRA Rule 5122 on […]
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Comment Letter to FINRA in Response to its Notice-to Members 11-04 on Proposed Amendments to FINRA Rule 5122 on Private Placements of Securities03.14.11
MFA submitted comments to FINRA in response to its Notice-to Members 11-04 on proposed amendments to FINRA Rule 5122 on […]
Topics: FINRA Office of the corporate secretary, Private placement of securities, FINRA Notice-to-members 11-04, member firm participation, private placements, control entity, privately offered commodity pools, investment funds, federal securities, SEC, Securities and Exchange Commission, accredited investors, limited disclosure requirements, qualified purchasers, 3(c)(7) fund, offshore transaction, 3(c)(1) funds, net worth standard, private funds, Commodity Pools, CFTC, Commodity Futures Trading Commission, National Futures Association, NFA,