issuers Archives - Managed Funds Association

MFA Submits Additional Comments to SEC on FINRA Rule 512312.03.13

MFA submitted comments to the SEC in response to its notice of the Financial Industry Regulatory Authority’s (“FINRA”) amendments to […]

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Topics: FINRA Financial Industry Regulatory Authority, Securities and Exchange Commission, SEC, private placement materials, private placement, issuers, Stuart Kaswell, private fund offerings, safe harbor, Regulation D, broker-dealer, self-regulatory organization, SRO, efficiency, capital formation, private placement form,

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

MFA Submits Letter to SEC on Implementation of the JOBS Act06.26.12

On June 26, MFA submitted a comment letter to the SEC regarding its implementation of Section 201 of the Jumpstart […]

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Topics: Securities and Exchange Commission SEC, JOBS Act, investor qualification standards, hedge fund investors, Federal Securities Laws, Private Funds Managers, issuers, private offerings, capital formation, qualified client, accredited investor, assets under management, AUM, entity investor, minimum investment level, bank, brokerage, assets, federal tax return, W-2, Certified Public Accountant, chief financial officer, General Solicitation, Ban on General Solicitation and Advertising, Investor Protection, transparency, reasonable evidence, United States Congress, minimum net worth,

MFA Comments to SEC on Proposed Short Selling Restrictions06.22.09

MFA submitted a letter to the SEC in response to its request for comments on proposed short sale restrictions. MFA […]

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Topics: Securities and Exchange Commission SEC, Regulation SHO, Reg SHO, Release, short selling, price test, market-wide, short sale price test, single security circuit breaker, investors, issuers, legislators, stock price, investor confidence, uptick rule, public comment, private investment pools, pensions, endowments, foundations, volatility, securities, empirical data, capital formation, market liquidity, price discovery, pricing efficiency, price test limitations, public interest, cacpital, transaction costs, circuit breaker, regulatory, antifraud authority, shares, SEC Office of Economic Analysis, OEA, floor brokers, high frequency, buy-side firms, hedged, broker dealers, pre-borrow requirement, arbitrage, T+4 close-out, Division of Trading and Markets, solvency, G19, Hong Kong, public disclosure, retail, Nasdaq bid test, bear raids, Credit Suisse, Russell 3000, full sample period, Internet, airline, Barra, preferred security, convertibles, interest list, locate numbers, custodian, T+3, merger arbitrage, event-driven investing, warrants, index products, merger, acquisition, exchange offer, spin-off, split-off, recapitalization, ETFs,

MFA Comments to SEC Regarding Proposals to Revise Limited Offering Exemptions in Regulation D10.19.07

MFA submits a comment letter to the SEC regarding their proposals to revise the limited offering exemptions in Regulation D.

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Topics: Limited Coffering Exemptions global alternative investment industry, hedge funds, managed futures funds, policymaker, flexibility, issuers, Accerdited Investor, accredited natural person, offers, securities, limited announcement, offering, pooled investment vehicles, transactions, Public Offerings, General Solicitation, General Advertising, investor, accredited investor, higher dollar-amount thresholds, qualification, capital, Private Pooled Investment Vehicle Release, financial sophistication standards, federal regulations, natural persons, privated pools of captial, inflation, financial eligibility standard, joint income thresholds, Office of Economic Analysis, capital formation, compliance, implications of the growth of hedge funds, Offerings, private placement offerings, qualifies purchasers, Qualified Purchaser Definition, Qualified Client Definition, marital assets, Joint Investments, qualified client, qualified purchaser, Subscription Agreement, pooled investment fund, subscription agent, sophisticated investors, United States, Future Inflation Adjustment, dollar-amount threshols, private placement, knowledgeable employees, Trust Grantors, Trustees, beneficiaries, Sophisticated Investor Standards, risk, transaction costs, economic efficiency, Investor Protection, Investor relations professionals, research analysts, attorneys, traders, brokers, traders of a fund affiliate, senior financial, operational, accounting officers, risk/return, deferred compensation, net worth, investments tests, Issuer, fund principals, pooled investment funds, retention tool, start up company, sotck, equity owners, primary beneficiary, Grandfathered, inflation adjustments, dollar-amount thresholds, grandfather provision, due diligence, committed capital, Interation Safe Harbor, transparency, Manner of Offering, sale limitations, Disqualification Provisions, predecessor, affiliated issuer, director, executive officer, general partner, managing member, 20% beneficial owner, promoter, cease and desist, Fraud, Form D, blue sky filing, bad actor disqualification provisions, recdivism, Division of Enforcement, U.S. Congress, Securities and Exchange Commission, SEC, threshold,

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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Topics: Securities and Exchange Commission SEC, buy-side investor, alternative investment industry, hedge funds, commodity pool operator, CPO, fund of funds, managed futures funds, capital raising, issuers, manipulative activity, bright-line tests, shareholder value, trading and market practices, short selling, Public Offerings, manipulative short selling, broker-dealer, market price, uptick rule, de minimis, decimal trading, investment grade debt securities, actively traded securities, common equity securities, public float value, derivatives, derivative securities, prophylactic rule, Jacob Stillman, HealthSouth Securities Litigation, Karon Bowdre, exchange-registered securities, statistical arbitrage, convertible arbitrage, securities offerings, secondary offerings, supply and demand, arbitrage, hedging, financial instruments, quantitative analysis, market participants, contract of sale, sale, underwriters, sticky offering, security in the offering, contract to purchase, contract to sell, SEC v. Edwin Buchanan Lyon IV, SEC v. Langley Partners L.P., restricted period short sales, mutual funds, pension plans, real-time positions, insider trading, registered investment adviser, PIPE, PIPE transaction, private placement purchaser, restricted stock, aggregation units, SEC v. Joseph J. Spiegel, SEC v. Solar Group S.A., SEC v. Graycort Financial LLC, private placement, holder, SEC v. Andreas Badian,

MFA Comments to SEC on Exposure Draft of Final Report of Advisory Committee on Small Public Companies04.03.06

MFA Comments to SEC on Exposure Draft of Final Report of Advisory Committee on Small Public Companies

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Topics: Securities and Exchange Commission SEC, Commission's Advisory Committee on Smaller Public Companies, alternative investment industry, hedge funds, commodity pool operator, CPO, fund of funds, managed futures funds, private placement, qualified purchasers, capital formation, smaller public companies, liquidations, bright-line tests, eligible purchasers, United States Congress, private issuer, Selling Agent, no-action letters, David Martin, L. Keith Parsons, Patrick Daugherty, Hedge Fund Directories, InfoVest, MAR, HFR, Klitzberg group, Glenwood Investment company, Lamp technologies Inc, private soliciation, securities law, private investment vehicles, investors, suitable offerees, pre-existing substantitive relationship, public companies, net asset value, NAV, registered investment companies, RICs, blue sky laws, liquid assets, Fraud, cost-benefit analysis, broker-dealer, futures commission merchants, FCM, Commodity Futures Trading Commission, CFTC, stock, National Futures Association, NFA, owner of record, beneficial ownership, held of record, GAAP, generally accepted accounting principles, Brad Smith, Peter Wallison, proprietary information, issuers, Foundation, pension plans, institutional investors,

MFA Comment Letters

Topic: issuers