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CFTC RIN: 3038-AD03 Publication ID: Fall 2010 
Title: ●Investment Adviser Reporting (Section 406) 
Abstract: The Commission and the Securities and Exchange Commission are required, after consultation with the Financial Stability Oversight Counsel, to jointly issue rules establishing the form and content of reports required to be filed with the Commission and the Securities and Exchange Commission by investment advisers that are registered under the Private Fund Investment Advisers Registration Act of 2010, and the Commodity Exchange Act. 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 USC 80b-11, as amended by PL 111-203 (Dodd-Frank)   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/21/2011 
Timetable:
Action Date FR Cite
NPRM  12/00/2010    
NPRM Comment Period End  01/00/2011    
Final Action  07/00/2011    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Kevin Walek
Assistant Director, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5463
Email: kwalek@cftc.gov