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CFTC RIN: 3038-AF31 Publication ID: Fall 2023 
Title: 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.

Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: None     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 80b-11   
Legal Deadline:  None
Action Date FR Cite
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 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related Agencies: Joint: SEC; 
Agency Contact:
Pamela M. Geraghty
Deputy Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5634