MFA Comment Letters

Topic: investment company

MFA Submits Comments in Response to SEC Proposed Amendments to Regulation D, Form D and Rule 15609.23.13


MFA submitted a letter to the Securities and Exchange Commission in response to proposed amendments to Regulation D, Form D […]

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Topics: accredited investor accredited investors, Advance Form D, adviser registration, anti-fraud rules, assets under management, AUM, Ban on General Solicitation and Advertising, beneficial owners, capital formation, capital markets, cease and desist, censure, CFTC, Colorado Bar Association, commodities, Commodity Futures Trading Commission, competition, compliance, compliance costs, cost-benefit analysis, deemed compliant, derivatives, disclosure requirements, Division of Investment Management, due diligence, efficiency, eligible purchasers, Elizabeth Murphy, equity, examination process, Federal Securities Laws, Form 13F, Form ADV, Form D, Form PF, Franklin Group of Funds, Fund Sponsors, general partner, General Solicitation, general solicitation materials, Global Investment Performance Standards, harmonization, hedge fund industry, hedge fund managers, hedge funds, high net worth requirements, institutional investor, interpretive guidance, investment company, Investor Protection, investor qualification standards, issuers, JOBS Act, John Thune, knowledgeable employees, legends, liquidity, market practices, marketing materials, mutual fund, natural persons, Norm Champ, OCIE, Office of Compliance Inspections and Examinations, Pacific Mutual Life Insurance Company, performance, pitch book, PLI Hedge Fund Management Conference, pool participants, private capital markets, private fund, private fund managers, private fund offerings, private placement memorandum, private placements, proprietary information, public markets, qualified clients, qualified purchasers, Ray Garrett, registered investment adviser, registered investment companies, Regulation D, retail investors, RICs, Rulemaking, Schedule 13D, SEC, Securities and Exchange Commission, sophisticated investors, state securities regulators, statement of policy, transparency, United States Congress, Variable Life, Verification Methods,

MFA and AIMA Submit Letter on Canadian Early Warning Reporting System07.12.13


MFA and AIMA submitted a letter to Canadian regulators in response to proposed amendments to Canada’s Early Warning System and […]

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Topics: activist hedge fund AIMA, Alberta Investment Management Corporation, Alberta Securities Commission, Alternative Investment Management Association, Alternative Monthly Reporting, Andrew Vollmer, ASIC, Australia, Australian Securities and Investments Commission, Australian Stock Exchange, Autorite des Marches Financiers, Bank of Canada, banks, beneficial owners, board of directors, Brian Cheffins, British Columbia Investment Management Corporation, British Columbia Securities Commission, broker-dealer, Canada, Canada Pension Plan Investment Board, Canadian Coalition for Good Governance, Canadian Early Warning Reporting System, capital markets, Chotibhak Jotikasthira, confidentiality, contracts for difference, corporate governance, cost-benefit analysis, Counterparty, derivatives, disclosure and transparency rules, disclosures, eligible institutional investor, equity securities, EWR, FCA, Financial and Consumer Affairs Authority of Saskatchewan, Financial Conduct Authority, Google Finance, hedge funds, Hedge Funds Review, hedging, institutional investors, investment company, investor reporting, Issuer, Jeffrey Gordon, Kimber Report, liquidity, London Stock Exchange, Manitoba Securities Commission, MFA, Morningstar, National Bureau of Economic Research, New Brunswick Securities Commission, New York Stock Exchange, Nickolay Gantchev, non-objecting beneficial owners, Nova Scotia Securities Commission, OMERS Administration Corporation, Ontario Securities Commission, Ontario Teachers' Pension Plan, OTC derivatives, Paul Wolfson, performance, qualified investors, regulatory regime, relevant interests, remuneration, reporting, return on assets, Reuters, Ronald Gilson, SEC, Securities and Exchange Commission, Securities Commission of Newfoundland and Labrador, securities law, SEDAR, SEDI, Seeking Alpha, shareholders, StockCharts, Stockhouse, Superintendent of Securities Northwest Territories, Superintendent of Securities Nunavut, Superintendent of Securities Prince Edward Island, Superintendent of Securities Yukon Territory, System for Electronic Document Analysis and Retrieval, System for Insider Data on Insiders, TELUS Corporation, The Caisse de depot et placement du Quebec, TMX Group Limited, total return swaps, transparency, TSX, TSX Venture Exchange, United Kingdom, voting shares, Ward Phillips & Vineberg LLP, Yahoo!Finance,

MFA Submits Letter in Response to SEC Investor Advisory Committee Recommendations on Implementation of the JOBS Act03.22.13


MFA submitted a comment letter to the Securities and Exchange Commission (SEC) in response to its proposed implementation of Section […]

Petition to SEC for Rulemaking on Rule 502 of Regulation D, Ban General Solicitation01.06.12


MFA submitted a comment letter to the SEC requesting that the Commission amend Rule 502(c) of Regulation D to eliminate […]

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Topics: accredited investors Administrative Costs, Anti-Fraud Provisions, Auditors, Ban on General Solicitation, Ban on General Solicitation and Advertising, Broadcast Over Television, Broker, Business Practices, capital formation, Chairman Schapiro, Competitiveness, Congressman Darrell Issa, Consulting Firm, Continuous Offerings, Disclosure, Division of Corporation Finance, Division of Investment Management, Economic Growth, Federal Securities Laws, Fraud, Fund Managers, General Advertising, General Solicitation, hedge funds, House Committee on Oversight and Government Reform, House of Representatives, Inadvertent Violation, Independent Regulatory Agencies, Industry Conferences, Inquiries, Interpretive Framework, investment company, Investor Criteria, Investor Protection, Investor Protections, Issuer, Job Creation, Legal Costs, Limited Partnerships, Offerings or Sales, Offers or Sales Securities, Over-the-Counter Derivatives Markets, oversight, Petition for Rulemaking, Policy Makers, Pre-Existing Relationship Doctrine, Pre-Existing Substantive Relationship, prime brokers, private funds, Private Funds Managers, Private Offering, Proprietary Investment Data, Protecting Investors: A Half Century of Investment Company Regulation, Public Offering, Qualified Potential Investors, qualified purchasers, Radio, Regulators, SEC, Securities and Exchange Commission, Selling Agent, Senate, sophisticated investors, Subscription Agreement, Systemic Risk Assessment, Third-Party, transparency, United States Congress, Unsophisticated Investors, Waiting Period, Wealth Tests,
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