Published on Mar 18th, 2020 |

On March 13, 2020, the SEC announced they will be providing conditional relief from specific Form PF and Form ADV filing requirements due to the Coronavirus (COVID-19) Pandemic.

The SEC has granted exceptions for filing and delivery for filings in which the due date is on or after March 13, 2020  through April 30, 2020. The relief they are granting is temporary and conditional under the Investment Advisers Act of 1940.

Advisors or ERAs must satisfy specific conditions in order to be qualified for relief. Those steps are as follows:

  1. An Advisor or ERA has a specific reason as to why they are unable to meet a deadline or delivery requirement because of the impact of the Coronavirus (COVID-19);
  2. The Advisor or ERA must then email the SEC at as well as disclose on their website/ notify clients of why they cannot file on time and when they expect to file and deliver the Form; and
  3. Last, the Advisor or ERA files the Form ADV or PF no later than 45 days after the original date it was due.

Make sure you are aware of whether you are qualified to benefit from the filing exemptions and if this announcement can provide you with relief during this Global Pandemic. For more information refer to the Links from the SEC Below.

Full RIA Release
Full RIC Release