Step 1 of 6: Identity
SEC Filings & Disclosure
Broker-dealers, advisers & fundsSelect the legally operative form version and filing type, calculate adviser/fund scope and deadlines, capture all applicable fund, strategy, exposure, liquidity, leverage, counterparty, risk, aggregation, look-through, estimate, and assumption data, obtain data-owner and CCO approvals, validate the confidential XML or portal payload, submit through PFRD, and reconcile its receipt.
Basis: Private fund reporting
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
6 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 6
ScreenSEC › SEC Workflows › Confidential Form PF reportstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Registered investment adviser (required)
entityIdSelect the SEC-registered adviser responsible for the confidential Form PF filing.
Step 2 of 6
ScreenSEC › SEC Workflows › Confidential Form PF reportstep 2
Complete the Scope fields. Each value is validated against the schema before the next step unlocks.
Legally operative Form PF version (required)
filingVersionEnter legally operative form pf version.
Form PF filing type (required)
filingTypeEnter form pf filing type.
Prior PFRD submission referenceoptional
priorSubmissionReferenceEnter prior pfrd submission reference.
Reporting period end (required)
reportingPeriodEndEnter reporting period end.
Adviser, AUM, filer-kind, and frequency determination ID (required)
adviserEligibilityArtifactIdEnter adviser, aum, filer-kind, and frequency determination id.
Private funds, related persons, parallel funds, and trading vehicles population ID (required)
fundPopulationArtifactIdEnter private funds, related persons, parallel funds, and trading vehicles population id.
Step 3 of 6
ScreenSEC › SEC Workflows › Confidential Form PF reportstep 3
Complete the Report fields. Each value is validated against the schema before the next step unlocks.
Section 1 adviser and reporting-fund responses artifact ID (required)
section1ArtifactIdEnter section 1 adviser and reporting-fund responses artifact id.
Strategy, geography, asset, derivative, and financing exposure data ID (required)
strategyAndExposureArtifactIdEnter strategy, geography, asset, derivative, and financing exposure data id.
Liquidity, leverage, borrowing, and redemption data artifact ID (required)
liquidityAndLeverageArtifactIdEnter liquidity, leverage, borrowing, and redemption data artifact id.
Counterparty, stress, risk, and current-event data artifact ID (required)
counterpartyAndRiskArtifactIdEnter counterparty, stress, risk, and current-event data artifact id.
Step 4 of 6
ScreenSEC › SEC Workflows › Confidential Form PF reportstep 4
Complete the Methodology fields. Each value is validated against the schema before the next step unlocks.
Filer-kind and fund-by-fund section applicability matrix ID (required)
sectionApplicabilityMatrixArtifactIdEnter filer-kind and fund-by-fund section applicability matrix id.
Aggregation, look-through, estimates, rounding, and assumptions ID (required)
methodologyAndAssumptionsArtifactIdEnter aggregation, look-through, estimates, rounding, and assumptions id.
Step 5 of 6
ScreenSEC › SEC Workflows › Confidential Form PF reportstep 5
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Data-owner certification artifact ID (required)
dataOwnerCertificationArtifactIdEnter data-owner certification artifact id.
Chief compliance officer approval artifact ID (required)
ccoApprovalArtifactIdEnter chief compliance officer approval artifact id.
Step 6 of 6
ScreenSEC › SEC Workflows › Confidential Form PF reportstep 6
Complete the Package fields. Each value is validated against the schema before the next step unlocks.
Confidential Form PF XML or portal payload artifact ID (required)
xmlOrPortalPayloadArtifactIdEnter confidential form pf xml or portal payload artifact id.
PFRD schema and completeness validation artifact ID (required)
pfrdValidationArtifactIdEnter pfrd schema and completeness validation artifact id.
Continue with the next guide in this framework's table of contents.
Prepare an initial or amended Investment Company Act exemptive application, preserve applicants, facts, legal standards, requested order, conditions, precedent, correspondence, verification, signatures, and exhibits; submit through EDGAR; distinguish EDGAR acceptance from a later Commission exemptive order.
Read guide Broker-dealers, advisers & fundsPrepare an initial, amendment, or cessation notice for a non-NMS ATS; gate NMS stock activity into Form ATS-N; capture broker-dealer registration, operations, access, fair-access, order-display, systems, surveillance, books, records, safeguards, exhibits, and signature evidence; and reconcile Commission receipt without representing the notice as Commission approval.
Read guide Broker-dealers, advisers & fundsChoose the exact ATS-N submission type; conditionally bind the prior accession; complete Parts I-III as applicable, public operations, affiliate, conflict, segmentation, access, fee, and order-handling disclosure; calculate review, withdrawal, cessation, and effectiveness paths; validate the structured EDGAR package; and wait for Commission effectiveness evidence after acceptance.
Read guide