MFA Comment Letters

Topic: alternative investment industry

MFA Files Amicus in Lehman Litigation to Support Judicial Asset Sale Process09.28.12


MFA filed an amicus brief in the Barclays Capital and LBI SIPA Trustee litigation before the Second Circuit Court of […]

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Topics: Acton v. Fullmer (In re Fullmer) Adam Levitin, Adelphia Recovery Trust v. HSBC Bank USA (in re Adelphia Recovery Trust), alternative investment industry, amicus brief, amicus curiae, Asia, assets under management, AUM, Australia, bankruptcy, Bankruptcy Code, bankruptcy court, banks, Barclays Capital, Bass v. Parsons (In re Parsons), best practices, Big Shanty Land Corp. v. Comer Props. Inc., borrowers, capital markets, Clarification Letter, contract, debtor, Ella Shenhav, endowments, Europe, Financier Worldwide, Folger Adam Security Inc. v. Dematteis/MacGregor, free and clear, Harvey Miller, Illinois, In re Cavalieri, In re Cedar Tide Corp, In re F.A. Potts & Co., In re Fehl, In re Gulf Coast Oil Corp., In re Integrated Res. Inc., In re Sapolin Paints Inc., In re Savage Indus. Inc., In re Silver Bros. Co., In re Smith, In re Weisser Eyecare Inc., institutional investors, interest rates, James W. Giddens, Kelly DePonte, LBHI, Lehman Brothers Holding Inc., Lehman Margin Cash, lenders, liquidity, litigant, Lori Fife, M.R.R. Traders Inc. v. Cave Atlantique, Managed Funds Association, Matter of Pease, Med. Malpractice Ins. Ass'n v. Hirsch (In re Lavigne), Meinwald v. Meinwald, MFA, Morgan Olson LLC v. Federico et al. (In re Grumman Olson Indus. Inc.), New York Adelphia, no-cash deal, pensions, public policy, purchaser, Richard Mikels, risk management, Rob Copeland, secondary offerings, Securities Investor Protection Corporation Trustee, SIFMA, stakeholders, transparency, U.S. Court of Appeals for the Second Circuit, United States Bankruptcy Court for the Southern District of New York, United States v. Sforza, Walker v. Lee (in re Rounds), Winston Inn & Rest. Corp. v. DeMichiel (In re Winston Inn & Rest. Corp.),

MFA Submits Amicus Brief on Issue of Creditor Coordination06.29.12


On June 29, MFA filed an amicus brief in the 11th Circuit en banc review of the CompuCredit case.  At […]

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Topics: Aidan Synnott Ali Stoeppelwerth, alternative investment industry, anticompetitive, Arizona v. Maricopa County Medical Society, Bankruptcy Code, Bankruptcy Filing, banks, bilateral monopoly, Board of Governors of the Federal Reserve System, Bondholder, bonds, borrowers, Brendy Kuehne, Broad. Music Inc. v. Columbia Broadcasting Sys. Inc, broker-dealer, Bus. Elecs. Corp. v. Sharp Elecs. Corp., capital, capital formation, chilling effect, Classic Cheesecake Co. Inc. v. JPMorgan Chase Bank NA, collective action risks, competition, Compucredit Holdings Corporation v. Akanthos Capital Management LLC, Conrad Duberstein, contract, contractual relationship, corporate bonds, credit market, credit squeeze, creditor, creditor coordination, Daniel Crane, debt instruments, debtor, distressed debt, Edward Altman, Falstaff Brewing Corp. v. New York Life Ins. Co., FDIC, Federal Deposit Insurance Corporation, Federal Trade Commission v. Brown Shoe Co., Federal Trade Commission v. Indiana Federation of Dentists, Federal Trade Commission v. Superior Court Trial Lawyers Association, Financial Crisis Inquiry Commission, Finnegan v. Campeau Corp., Glenn Merrick, hedge funds, high-velocity market, institutional lender, interest rates, investment banks, Ireland v. Craggs, John Coffee Jr., Judge Easterbrook, Leegin Creative Leather Products Inc. v. PSKS Inc., leverage, Loan Syndications and Trading Association, low-velocity market, Marcel Kahan, Maris Distrib. Co. v. Anheuser-Busch Inc., market power, maturity date, Michael MacKenzie, Moses Silverman, National Collegiate Athletic Association v. Board of Regents, New York University Salomon Center, Nicole Bullock, Northwest Wholesale Stationers Inc. v. Pacific Stationery & Printing Co., Office of the Comptroller of the Currency, Palmyra Park Hosp. Inc. v. Phoebe Putney Memorial Hospital, par value, per se rules, pre-packaged bankruptcy, price competition, price-fixing, primary market, Reisner v. General Motors Corp., Reiter v. Sonotone Corp., risk portfolio, secondary loan markets, securities firms, Securities Industry and Financial Markets Association, Shared National Credit Review, Sharon Steel Corp. v. Chase Manhattan Bank NA, SIFMA, Smith v. The Ferncliff, State Farm Mutual Auto. Ins. Co. v. Physicians Injury Care Center Inc., Stern School of Business, syndicated loan market, systemic risk, Tomotaka Fujita, Twin City Pipe Line Co. v. Harding Glass Co., U.S. Court of Appeals for the Eleventh Circuit, U.S. Court of Appeals for the Second Circuit, U.S. Court of Appeals for the Seventh Circuit, Unijax Inc. v. Champion International Inc., United Airlines Inc. v. U.S. Bank NA, United States v. Giordano, United States v. Topco Assocs Inc., Volt Info. Scis. Inc. v. Board of Trs. of Leland Stanford Jr. University, William Klein,

MFA Joins Amicus Curiae Brief in the case of Hunter v. FERC Regarding Jurisdiction to Regulate Futures Trading07.08.10


MFA, together with FIA, CME and NFA, filed an amicus curiae brief in the Hunter v. FERC case. In our […]

MFA Response to CESR Consultation Paper on a Proposal for a Pan-European Short Selling Disclosure Regime10.01.09


MFA submitted a letter to the Committee of European Securities Regulators (CESR) today in response to its Consultation Paper on a […]

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Topics: 130/30 funds absolute return strategies, abusive behavior, abusive practices, abusive short selling practices, academics, aggregated anonymised data, aggregation, alternative investment classes, alternative investment industry, alternative investment managers, alternative investment vehicles, asset management company, basket trade, bid-ask spread, capital formation, capital markets, capital raising, CESR, CESR Proposal for a Pan-European Short Selling Disclosure Regime, chilling effect, Committee of European Securities Regulators, competent authorities, confidentiality, convertible arbitrage, convertible bonds, convertible securities, Credit Suisse, cumulative compliance costs, de minimis, delta adjusted, derivative positions, derivatives, disclosure thresholds, disproportionate costs, EEA equities, EEA stock, endowments, enhanced transparency, equity markets, EU, EU Member State, European markets, European Union, exchanges, exposures, extraterritoriality, extreme market conditions, financial institutions, Financial Regulatory Authority, financial services sector, financial stocks, FINRA, flagging regime, flagging short sales, foundations, free flow of information, freedom of information regimes, FSA, fund of funds, global capital markets, global equity markets, harmonization, hedge, hedge funds, hedging strategies, herding, hybrid funds, index trading, industry service providers, institutional investors, investment managers, investors, Issuer, Journal of Finance, large-scale short selling, liquidity, long equity positions, managed futures funds, manipulative conduct, Market Confidence, market efficiency, market maker, market making, market participants, market stability, market testing, market volatility, materially negative impacts, meaningful data, Member State competent authorities, MiFID, naked short selling, negative returns, net economic short position, net economic short positions, over-the-counter transactions, Pension Funds, physical short sales transactions, price amplification, price declines, price discovery, pricing efficiency, private reporting, professional secrecy, prudential regulators, public disclosure of short positions, real time information, reporting regimes, retail investors, Reverse Engineered, risk management, risk management function, securities prices, settlement, share issues, short equity position, short positions, short selling, short selling bans, short selling disclosure regime, short selling prohibitions, short squeeze, significant adverse effect, stability, T+1 reporting, timeframe for reporting, trading platform, trading strategies, traditional bond issuance, transaction costs, transitory short position, transparency directive, two-tier disclosure model, UK Financial Services Authority, Unwind,

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 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,

MFA Submits Comment Letter to the SEC on Amendments to Rule 10502.12.07


MFA submits comments to the SEC on amendments to Rule 105

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