Form PF

Regulation · CC-BY-4.0

Confidential reporting form for SEC-registered investment advisers managing private funds, designed to provide systemic risk data to FSOC. Filing frequency and detail scale with AUM and fund type. Materially expanded in 2023 to add current event reporting for large hedge funds.

Details

• aliases: Private Fund Reporting Form
• jurisdiction: US
• regulator: SEC, CFTC
• kind: rule
• effective date: 2012-07-01
• summary: Confidential reporting form for SEC-registered investment advisers managing private funds, designed to provide systemic risk data to FSOC. Filing frequency and detail scale with AUM and fund type. Materially expanded in 2023 to add current event reporting for large hedge funds.
• scope: SEC-registered investment advisers and dual SEC/CFTC registrants with at least $150M in private fund regulatory AUM.
• applies to: registered investment advisers
• related regulations: investment-advisers-act-1940, dodd-frank
• related terms: regulatory-aum, private-fund, systemic-risk, counterparty-exposure
• official text url: https://www.sec.gov/rules/final/2011/ia-3308.pdf
• history: Adopted October 2011, effective 2012. Expanded May 2023 to add current-event triggers for large hedge funds and broader detail. Further amendments 2024.