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SEC RIN: 3235-AK92 Publication ID: Spring 2011 
Title: ●Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisers on Form PF 
Abstract: The Commission proposed a rule requiring investment advisers registered with the SEC that advise one or more private funds to file certain information, including information about the private funds the adviser advises. This proposal would implement sections 404 and 406 of the Dodd-Frank Act. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 279.9 (new)    17 CFR 275.204(b)-1 (new)   
Legal Authority: 15 USC 80b-11(e)   
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd-Frank Act sec 406 requires final rule within a year of enactment.  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  02/11/2011  76 FR 8068   
NPRM Comment Period End  04/12/2011    
Final Action  06/00/2011    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/ia-3145  
RIN Data Printed in the FR: No 
Related Agencies: Joint: CFTC; 
Agency Contact:
David Bartels
Division of Investment Management
Securities and Exchange Commission
100 F Street NE.,
Washington, DC 20549
Phone:202 551-6388
Email: bartelsd@sec.gov