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期货和衍生品行业监管动态
（CFTC）表决同意与美国证券交易委员会（SEC）关于修订 PF 表格的联合提案。
PF 表格是一份保密报告表格，供某些在 SEC 注册的私募基金投资顾问（包括那
些同时在 CFTC 注册的投资顾问）使用。SEC 也在同日的一次公开会议上批准了
该表格修订提案。对 PF 表格的修订提案反映了过去十年在 SEC 备案的私募基金
所得到的经验教训。
修订提案旨在提高 PF 表格数据的实用价值，以加强金融稳定监管委员会
（Financial Stability Oversight Council）评估系统性风险的能力，并根据私募基金
行业的发展情况加强对私募基金顾问的监管。具体而言，该联合提案将修改 PF
表格的一般说明部分以及第 1 节和第 2 节的内容。
该提案将在 CFTC 官网以及《联邦公报》上公布。征求意见期为 CFTC 官网
公布之日起 60 日或自《联邦公报》公布之日起 30 日内（以时间较长者为准）。
CFTC Approves a Joint Rule Proposal to Amend Form PF (2022/8/10)
The Commodity Futures Trading Commission today voted to jointly propose
amendments to Form PF with the Securities and Exchange Commission (SEC), as
required by the Dodd-Frank Wall Street Reform and Consumer Protection Act of
2010. Form PF is the confidential reporting form for certain investment advisers to
private funds that are registered with the SEC, including those also registered with the
CFTC. The SEC also approved the proposed amendments at a public meeting today.
The proposed amendments to Form PF reflect the lessons learned over the past decade
of private funds filing with the SEC.
The proposed amendments are designed to improve the utility of Form PF data to
enhance the Financial Stability Oversight Council’s ability to assess systemic risk as
well as to bolster the oversight of private fund advisers in light of the growth of the
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