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8068 Federal Register / Vol. 76, No. 29/ Frida y, Feb ruar y 11, 201 1/ Prop osed Rules 1 7 U.S.C. 1a. 2 15 U.S.C. 80b. Unless otherwise noted, when we refer to the Advisers Act, or any paragraph of the Advisers Act, we are referring to 15 U.S.C. 80b of the United States Code, at which the Advisers Act is codified, and when we refer to Advisers Act rule 204(b)–1, or any paragraph of this rule, we are referring to 17 CFR 275.204(b)–1 of the Code of Federal Regulations in which this rule would be published. In addition, in this Release, when we refer to the ‘‘Advisers Act,’’ we refer to the Advisers Act as in effect on July 21, 2011. 3 Public Law 111–203, 124 Stat. 1376 (2010). COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 4 RIN 3038–AD03 SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 275 and 279 [Release No. IA–3145; File No. S7–05–11] RIN 3235–AK92 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF AGENCIES: Commodity Futures Trading Commission and Securities and Exchange Commission. ACTION: Joint proposed rule. SUMMARY: The Commodity Futures Trading Commission (‘‘CFTC’’) and the Securities and Exchange Commission (‘‘SEC’’) (collectively, ‘‘we’’ or the ‘‘Commissions’’) are proposing new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed SEC rule would require investment advisers registered with the SEC that advise one or more private funds to file Form PF with the SEC. The proposed CFTC rule would require commodity pool operators (‘‘CPOs’’) and commodity trading advisors (‘‘CTAs’’) registered with the CFTC to satisfy certain proposed CFTC filing requirements by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and advise one or more private funds. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system. These advisers would file these reports electronically, on a confidential  basis. DATES: Comments should be received on or before April 12, 2011. ADDRESSES: Comments may be submitted by any of the following methods: CFTC • Agency Web site, via its Comments Online process: http:// comments.cftc.gov. Follow the instructions for submitting comments through the Web site. • Mail: David A. Stawick, Secretary, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. • Hand Delivery/Courier: Same as mail above. • Federal eRulemaking Portal: http://  www.regulations.gov.  Follow the instructions for submitting comments. ‘‘Form PF’’ must be in the subject field of comments submitted via e-mail, and clearly indicated on written submissions. All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to http://www.cftc.gov.  You should submit only information that you wish to make available publicly. If you wish the CFTC to consider information that may be exempt from disclosure under the Freedom of Information Act, a petition for confidential treatment of the exempt information may be submitted according to the established procedures in 17 CFR 145.9. The CFTC reserves the right, but shall have no obligation, to review, prescreen, filter, redact, refuse, or remove any or all of your submission from http:// www.cftc.gov that it may deem to be inappropriate for publication, including,  but not limited to, obscene language. All submissions that have been redacted or removed that contain comments on the merits of the rulemaking will be retained in the public comment file and will be considered as required under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act, 5 U.S.C. 552, et seq. (‘‘FOIA’’). SEC Electronic Comments • Use the SEC’s Internet comment form (http://www.sec.gov/rules/   proposed.shtml ); or • Send an e-mail to rule- [email protected].  Please include File Number S7–05–11 on the subject line; or • Use the Federal eRulemaking Portal (http://www.regulations.gov ). Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–1090. All submissions should refer to File Number S7–05–11. This file number should be included on the subject line if e-mail is used. To help us process and review your comments more efficiently, please use only one method. The SEC will post all comments on the SEC’s Web site (http://www.sec.gov/rules/   proposed.shtml ). Comments are also available for Web site viewing and printing in the SEC’s Public Reference Room, 100 F Street, NE., Washington, DC 20549 on official business days  between the hours of 10 a.m. and 3 p.m. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: CFTC: Daniel S. Konar II, Attorney- Advisor, Telephone: (202) 418–5405, E-mail: [email protected], Amanda L. Olear, Special Counsel, Telephone: (202) 418–5283, E-mail: [email protected], or Kevin P. Walek, Assistant Director, Telephone: (202) 418–5405, E-mail: [email protected],  Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581; SEC: David P. Bartels, Attorney-Adviser, Sarah G. ten Siethoff, Senior Special Counsel, or David A. Vaughan, Attorney Fellow, at (202) 551–6787 or [email protected],  Office of Investment Adviser Regulation, Division of Investment Management, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–8549. SUPPLEMENTARY INFORMATI ON: The CFTC is requesting public comment on proposed rule 4.27(d) [17 CFR 4.27(d)] under the Commodity Exchange Act (‘‘CEA’’) 1 and proposed Form PF. The SEC is requesting public comment on proposed rule 204(b)–1 [17 CFR 275.204(b)–1] and proposed Form PF [17 CFR 279.9] under the Investment Advisers Act of 1940 [15 U.S.C. 80b] (‘‘Advisers Act’’). 2  I. Background A. The Dodd-Frank Act On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’). 3 While the Dodd-Frank Act provides for wide- ranging reform of financial regulation, one stated focus of this legislation is to VerDate Mar<15>2010 21:44 Feb 10, 2011 Jkt 223001 PO 00000 Fr m 00002 Fmt 4701 Sf mt 4702 E: \FR\ FM\11FEP3. SGM 11FEP3   s   r   o    b    i   n   s   o   n   o   n    D    S    K    H    W    C    L    6    B    1    P    R    O    D   w    i    t    h    P    R    O    P    O    S    A    L    S    3

Reporting by Investment Advisers...Form PF-- Federal Register

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862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8588

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8688

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8788

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8888

Page 84: Reporting by Investment Advisers...Form PF-- Federal Register

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8488

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8588

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8688

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8788

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8888

Page 85: Reporting by Investment Advisers...Form PF-- Federal Register

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8588

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8688

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8788

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8888

Page 86: Reporting by Investment Advisers...Form PF-- Federal Register

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8688

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8788

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8888

Page 87: Reporting by Investment Advisers...Form PF-- Federal Register

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8788

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8888

Page 88: Reporting by Investment Advisers...Form PF-- Federal Register

862019 Reporting by Investment AdvisersForm PF-- Federal Register

httpslidepdfcomreaderfullreporting-by-investment-advisersform-pf-federal-register 8888


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