• Service: Tax, U.S. Indirect Tax, Advisory, Risk Consulting, Financial Risk Management
  • Industry: Banking & Capital Markets
  • Type: Publication series
  • Date: 1/5/2012

Regulatory Practice Letter #12-02 


Private Fund Reporting (Form PF) SEC and CFTC – Final Rule

Download Now
PDF files require Adobe Reader to view
The Securities and Exchange Commission (“SEC”) has issued a final rule, Rule 204(b)- 1 under the Investment Advisers Act of 1940 (“Advisers Act”), that requires investment advisers registered or required to be registered with the SEC who advise one or more private funds and have at least $150 million in private fund assets under management (“AUM”) to file new Form PF with the SEC.