View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

SEC RIN: 3235-AN13 Publication ID: Fall 2023 
Title: Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers 

The Division is considering recommending that the Commission adopt amendments to Form PF, the form on which advisers to private funds report certain information about private funds to the Commission, jointly with the CFTC.

The CFTC and SEC jointly proposed 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. 

Agency: Securities and Exchange Commission(SEC)  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: 17 CFR 275.204(b)-1    17 CFR 279.9   
Legal Authority: 15 U.S.C. 80b-4    15 U.S.C. 80b-11   
Legal Deadline:  None
Action Date FR Cite
NPRM  09/01/2022  87 FR 35938   
NPRM Comment Period End  10/11/2022 
Final Action  04/00/2024 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Thomas Strumpf
Branch Chief, Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 227-0576