Final Rule

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Public Comments

Overview

The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or “Commissions”) are adopting amendments to 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 (“CPO”) or commodity trading adviser (“CTA”). The amendments correct certain errors in Form PF.

Prior Actions

Title
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Overview

The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or “Commissions”) are adopting amendments to 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 (“CPO”) or commodity trading adviser (“CTA”).  The amendments are designed to enhance the Financial Stability Oversight Council’s (“FSOC’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 is amending a rule under the Investment Advisers Act of 1940 (“Advisers Act”) to revise instructions for requesting a temporary hardship exemption. 

Release Number
IA-6546
SEC Issue Date
Federal Register Publish Date
Document Citation

17 CFR Parts 275 and 279

RIN
3235-AN13

Last Reviewed or Updated: March 18, 2025