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Form PF; Reporting Requirements for All Filers
Plain English Summary
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) are changing the rules for Form PF, which is used by some investment advisers who manage private funds. These changes will remove some filing requirements and simplify the process for these advisers. The goal is to make it easier for them to comply with the reporting rules. Agents should stay informed about these changes and adjust their reporting practices accordingly.
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The Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "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 (a "CPO") or a commodity trading advisor (a "CTA"). The proposed amendments would eliminate certain filing and reporting obligations, streamline certain requirements, and make corrections and other revisions. The proposed amendments are designed to eliminate certain burdens, among other things.