private placement memorandum Archives - Managed Funds Association

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 Comments to SEC on Amendments to FINRA Rule 512307.22.13

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: Securities and Exchange Commission SEC, FINRA, Financial Industry Regulatory Authority, private placement, private placement memorandum, Offerings, Issuer, general partner, general soliciation, regulatory framework, private fund offerings, safe harbor, Regulation D, United States Congress, capital formation, registration, adviser registration, SEC Form N-1A, Form D, transparency, efficiency, due diligence, private placement form, compliance, broker-dealer,

MFA Submits Comments to SEC on FINRA Rule 512306.29.12

On Friday, June 29, MFA submitted comments to the SEC in response to its notice of the Financial Industry Regulatory […]

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Topics: Financial Industry Regulatory Authority FINRA, Securities and Exchange Commission, SEC, Private placement of securities, Issuer, purchaser, private fund, private placement memorandum, PPM, term sheet, offering document, adviser registration, capital formation, Federal Securities Laws, private fund managers, Subscription Agreement, redemption terms, registered investment companies, RICs, SEC Form N-1A, Form D, clearing, settling, self-regulatory organization, SRO, efficiency, fraudulent and manipulative acts and practices, unnecessary burden on capital formation, compensation arrangements, broker-dealer, market participants, investment company, hedge funds, sophisticated investors, institutional investors, due diligence, knowledgeable employees, Disclosure, proprietary information, confidentiality, NASD, qualified purchaser,

MFA Comments on Best Practices Reports Released by Two Committees Appointed by U.S. President’s Working Group on Financial Markets06.13.08

MFA submitted comments on the Best Practices Reports released by the two Committees appointed by the U.S. President’s Working Group […]

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Topics: Report of the Asset Managers' Committee of the President's Working Group on Financial Markets President's Working Group on Financial Markets, Best Practices for the Hedge Fund Industry, Alternative Investment Management Association, AIMA, business continuity, disaster recovery, anti-money laundering, compliance, risk management, operational systems, due diligence, stability, integrity, managers, investors, counterparties, Regulators, diligence, counterparty disclosure, Disclosure, Investor Protection, mandates, Counterparty Risk Management Policy Group, CRMPG, private placement memorandum, PPM, risk exposure, leverage, valuation hierarchy, OTC, Over-the-Counter, parallel managed account, valuation committee, third party administrator,

MFA Comments to SEC in Response to Proposed Amendments to Part 2 of Form ADV05.16.08

MFA filed a comment letter with the SEC, in response to the SEC’s proposed amendments to Part 2 of Form […]

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Topics: Securities and Exchange Commission SEC, Disclosure, Business Practices, conflict of interest, brochure, legal risk, Private Offering, private placement memorandum, liability, specialized advisory service, multi-strategy hedge fund, manager, SEC-registered adviser, state-registered adviser, adviser registration, Form ADV,

MFA Letter to NASD Regarding Proposed Rule on Member Private Offerings07.20.07

MFA submits comments to the NASD regarding NASD Proposed Rule 2721, Member Private Offerings, requesting that privately offered commodity pools […]

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Topics: Natinoal Association of Securities Dealers NASD, member private offerings, global altnerative investment industry, hedge funds, fund of funds, managed futures funds, Policy Makers, absolute return strategies, privately offered commodity, investment funds, abusive, fradulent member private offering, member firm, broker dealers, non-member private placements, control entity, privately offered commodity pool, Congress, Federal Securities Laws, security, public benefit, Securities and Exchange Commission, SEC, accredited investors, limited disclosure requirements, Commodity Futures Trading Commission, CFTC, National Futures Association, NFA, Commodity Pools, commodity pool operator, CPO, pool participants, disclosure documents, risks of the pool, fees, expenses, trading methodology, profits, conflicts of interest, break-even point, monthly account statements, income/loss, ownership equity, asset value, New York City Bar, on-site examination, regulatory costs, investment partnerships, direct particpation programs, seed money, private placement memorandum, PPM, filing requirement, 50% threshold, seed capital, fund sponsor, private offerings, unregistered securities, Member Private Offering, private investment funds, 3(c)(1) funds, accredited investor standard, natural persons, sophisticated investors, Investor Protection,

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: Securities and Exchange Commission SEC, private investment vehicles, Accredited Natural Person Proposal, Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles, Investor Protection, alternative investment industry, capital markets, hedge funds, managed futures funds, President's Working Group on Financial Markets, PWG, private pools, liquidity, price efficiency, risk distribution, Regulatory Structure, direct investment, Christopher Cox, Robert Steel, venture capital, private equity, industry innovation, Department of the Treasury, cash room, Randal Quarles, Senate Committee on Banking Housing and Urban Affairs, risk-adjusted performance, accredited investor standard, financial eligibility standards, accredited investor, pooled investment vehicles, net worth threshold, financial eligibility standard, Pui-Wing Tam, Jonathan Shieber, Stephen Heuser, qualified client, qualified purchaser, qualified institutional buyer, qualified eligible person, eligible contract participant, joint property, net worth, Office of Economic Analysis, 3(c)(1) funds, illiquid investments, real estate, Lock-up, U.S. economy, Stuatory Authority, 100 beneficial owners, beneficial owners, 3(c)(7) funds, deferred compensation, fund employees, American Bar Association, research analysts, legal counsel, traders, broker dealers, attorneys, brokers, compliance, operational, accounting officers, grandfathering provision, competition, start-up funds, antifraud proposal, Goldstein decision, scienter, transparency, dialogue, Request for Proposal, private placement memorandum, Limited Partnership Agreement, Subscription Agreement, due diligence, management, incentive compensation, conflicts of interest, side letters, withdrawal, transfer procedures, tax issues, ERISA Issues, Thomas Lemke,

MFA Comment Letters

Topic: private placement memorandum