Form Pf - Reporting Form For Investment Advisers To Private Funds And Certain Commodity Pool Operators And Commodity Trading Advisors Page 8
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64Form PF: General Instructions
Page 8
identification number by filing an other-than-annual amendment to your Form ADV and
following the instructions on Form ADV for generating a new number. When filing an other-
than-annual amendment for this purpose, you must complete and file all of Form ADV Section
7.B.1 for the new private fund.
See Instruction 6 to Part 1A of Form ADV for additional information regarding the acquisition
and use of private fund identification numbers.
11.
Who must sign my Form PF or update?
The individual who signs the Form PF depends upon your form of organization:
For a sole proprietorship, the sole proprietor.
For a partnership, a general partner.
For a corporation, an authorized principal officer.
For a limited liability company, a managing member or authorized person.
For a SID, a principal officer of your bank who is directly engaged in the management,
direction or supervision of your investment advisory activities.
For all others, an authorized individual who participates in managing or directing your affairs.
The signature does not have to be notarized and should be a typed name.
If you and one or more of your related persons are filing a single Form PF, then Form PF may be
signed by one or more individuals; however, the individual, or the individuals collectively, must
have authority, as provided above, to sign both on your behalf and on behalf of all such related
persons.
12.
How do I file my Form PF?
You must file Form PF electronically through the Form PF filing system on the Investment
Adviser Registration Depository website ( ), which contains detailed filing
instructions. Questions regarding filing through the Form PF filing system should be
addressed to the Financial Industry Regulatory Authority (FINRA) at 240-386-4848 .
13.
Are there filing fees?
Yes, you must pay a filing fee for your Form PF filings. The Form PF filing fee schedule is
published at and
14.
What if I am not able to file electronically?
A temporary hardship exemption is available if you encounter unanticipated technical difficulties
that prevent you from making a timely filing with the Form PF filing system, such as a computer
malfunction or electrical outage. This exemption does not permit you to file on paper; instead, it
extends the deadline for an electronic filing for seven “business days” (as such term is used in
SEC rule 204(b)-1(f)).
To request a temporary hardship exemption, you must complete and file on paper Item A of
Section 1a and Section 5 of Form PF, checking the box in Section 1a indicating that you are
requesting a temporary hardship exemption. Mail one manually signed original and one copy of
your exemption filing to: U.S. Securities and Exchange Commission, Branch of Regulations and
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