3038-AF31 202310 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3038 Commodity Futures Trading Commission CFTC Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers

The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (collectively, "we" or the "Commissions") are proposing to amend Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as a commodity pool operator or commodity trading adviser.  The amendments are designed to enhance the Financial Stability Oversight Council’s ability to monitor systemic risk as well as bolster the SEC’s regulatory oversight of private fund advisers and investor protection efforts.  In connection with the amendments to Form PF, the SEC proposes to amend a rule under the Investment Advisers Act of 1940 to revise instructions for requesting a temporary hardship exemption.  We also are soliciting comment on the proposed rules and a number of alternatives, including whether certain possible changes to the proposal should apply to Form ADV.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No None 15 U.S.C. 80b-11 No NPRM 09/01/2022 87 FR 53832 Correction 09/07/2022 87 FR 54641 NPRM Comment Period End 10/11/2022 Final Rule 11/00/2023 Final Rule Effective 11/00/2023 No None No No No No 3235 Securities and Exchange Commission SEC Joint Pamela Geraghty M. Deputy Director, Market Participants Division 3038 Commodity Futures Trading Commission CFTC 202 418-5634 pgeraghty@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581