XXVII. Investment Adviser Reporting

The Commission has issued final and proposed rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding investment adviser reporting.

Additional information regarding Investment Adviser Reporting is provided below, including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties.

Related Federal Register Releases

Final Rule: 85 FR 71772 // PDF Version
11/10/2020
17 CFR Part 4
Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
Effective Date: Tuesday, December 22, 2020

See also:
85 FR 26378, 5/4/2020 // PDF Version
17 CFR Part 4
Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR

Proposed Rule: 85 FR 26378 // PDF Version
5/4/2020
17 CFR Part 4
Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
Comment File – Closing Date: 6/15/2020

Proposed Rule: 77 FR 11345 // PDF Version
2/24/2012
17 CFR Part 4
Harmonization of Compliance Obligations for Registered Investment Companies Required to Register as Commodity Pool Operators
Comment File - Closing Date: 4/24/2012

Final Rule: 77 FR 17328 // PDF Version
3/26/2012
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations; Correction April 26, 2012

Final Rule: 77 FR 11252 // PDF Version
2/24/2012
17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Effective Date: April 24, 2012

Final Rule: 76 FR 71128 // PDF Version
11/16/2011
Commodity Futures Trading Commission 17 CFR Part 4 and Securities and Exchange Commission 17 CFR Parts 275 and 279
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Effective Date: March 31, 2011

Proposed Rule: 76 FR 8068 // PDF Version
2/11/2011
Commodity Futures Trading Commission 17 CFR Part 4 Securities and Exchange Commission 17 CFR Parts 275 and 279
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Comment File - Closing Date: 4/12/2011

Proposed Rule: 76 FR 7976 // PDF Version
2/11/2011
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Comment File - Closing Date: 4/12/2011

Additional Information

Fact Sheet: Final Rule on Amendments to Compliance Obligations of Commodity Pool Operators and Commodity Trading Advisors
Q&A: Final Rule on Amendments to Compliance Obligations of Commodity Pool Operators and Commodity Trading Advisors

Fact Sheet: Harmonization of Compliance Obligations for Registered Investment Companies Required to Register as Commodity Pool Operators
Q&A: Harmonization of Compliance Obligations for Registered Investment Companies Required to Register as Commodity Pool Operators

Release: CFTC Issues Final Rule Amending Registration and Compliance Obligations for Commodity Pool Operators and Commodity Trading Advisors

Event: CFTC Staff Roundtable on Proposed Changes to Registration and Compliance Regime for Commodity Pool Operators and Commodity Trading Advisors
– View Comments

Fact Sheet: Proposed Rules on Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors; and Amendments to Compliance Obligations of Commodity Pool Operators and Commodity Trading Advisors
Q&As: Proposed Rules on Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors; and Amendments to Compliance Obligations of Commodity Pool Operators and Commodity Trading Advisors

Event: Open Meeting on Eleventh Series of Proposed Rules under the Dodd-Frank Act