On June 11, 2025, the Securities and Exchange Commission (“SEC”) voted to extend the compliance date for the most recently adopted amendments to Form PF by approximately four months, to October 1, 2025....more
On January 29, 2025, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (together, the “Agencies”) jointly announced that the compliance date for the new Form PF would be extended by three...more
1/31/2025
/ CFTC ,
Compliance ,
Financial Regulatory Reform ,
Form PF ,
Hedge Funds ,
Investment Adviser ,
New Amendments ,
Private Funds ,
Regulatory Requirements ,
Reporting Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
We have separately discussed the common exemptions from registration of a fund manager with the Securities and Exchange Commission (SEC) as an investment adviser and from registration with the Commodity Future Trading...more
6/13/2024
/ Advertising ,
Blue Sky Laws ,
CFTC ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
Exemptions ,
Hedge Funds ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Funds ,
Investors ,
Mutual Funds ,
Private Funds ,
Qualified Purchaser ,
Regulation D ,
Securities and Exchange Commission (SEC)
An initial question faced by a new hedge fund manager is whether or not registration with the U.S. Commodity Futures Trading Commission (CFTC) will be required.
Limited Trading Exemption -
CFTC Rule 4.13(a)(3), which...more
5/7/2024
/ CFTC ,
Commodity Exchange Act (CEA) ,
Foreign Currency ,
Fund Managers ,
Futures ,
Hedge Funds ,
Investment Adviser ,
NDFs ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Virtual Currency