Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
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EDGAR Filer Access and Account Management; Correction
This document makes a correction to the preamble of a proposed rule, as proposed in Release No. 33-11232 (Sept. 13, 2023), which was published in the Federal Register on September 22, 2023.
Exemption for Certain Investment Advisers Operating Through the Internet; Correction
This document makes a correction to the preamble of a proposed rule, as proposed in Release No. IA-6354 (July 26, 2023), which was published in the Federal Register on August 1, 2023.
Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers; Correction
This document makes a correction to the preamble of a proposed rule, as proposed in Release No. 34-97990 (July 26, 2023), which was published in the Federal Register on August 9, 2023.
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
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.
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