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Filing Requirements Form PF

Foley Hoag LLP

Revised Reporting of Investors on Form PF – Action Needed with Compliance Date of June 12, 2025 Around the Corner

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The Securities and Exchange Commission (the “SEC”) adopted amendments to Form PF on February 8, 2024. The compliance date for these amendments, which was originally March 12, 2025, was extended to June 12, 2025 (the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - May 2022

In this issue, we cover regulatory developments impacting the investment management sector, including updates on closed-end fund activism; new SEC proposals; and the impact of Russia sanctions on disclosure obligations and...more

Proskauer Rose LLP

SEC Proposes Significant Amendments to Form PF

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On January 26, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed amendments to Form PF and related rules (the “Proposed Amendments”) under the Investment Advisers Act of 1940 (“Advisers Act”). Form PF is...more

Foley & Lardner LLP

Form PF Changes Ahead – the SEC Keeps Its Focus on Private Fund Advisers

Foley & Lardner LLP on

On January 26, 2022, the Securities and Exchange Commission (“SEC”) voted 3-1 to propose amendments to Form PF. The Form PF, which was initially adopted in 2011 and became effective on June 15, 2012, is a confidential report...more

A&O Shearman

Updated: SEC Extends Temporary Exemptions From Form ADV And Form PF Filing And Delivery Requirements

A&O Shearman on

In an Order dated March 25, 2020, the Securities and Exchange Commission offered an exemption to investment advisers that are confronting COVID-19-related disruptions with respect to certain filing obligations. The Order...more

Proskauer Rose LLP

SEC Releases 16 New FAQs on Form PF

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On January 18, 2017, the SEC released 16 new FAQs relating to Form PF. Of these 16, 3 relate to general filing information and the remaining 13 are specific to particular sections of Form PF. As a reminder, Rule 204(b)-1...more

Foley Hoag LLP

Important Deadlines and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity...

Foley Hoag LLP on

Investment Advisers - Annual Compliance Reviews: All investment advisers registered with the Securities and Exchange Commission (“SEC”) are required to review their compliance policies and procedures at least...more

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