The firm-level filing is now open for amendment. After providing the reason(s), you will be directed back to the Filing Index where you will reselect that filing by clicking on the end date to open the filing. In order to open the filing, you must provide the reason(s) for amending the filing. Click the “Amend Filing” button located on the top banner. This will take you to the first page of the Form PQR. First, you must select the End Date for the particular Form PQR that needs amending from the Filing Index. To ensure that the filing has been received, click on the “Filing Index” button at the bottom of the page and ensure that there is a date in the “Received Date” column and a status of “Received.”
You will then receive a confirmation that the filing has been submitted. After completing this, you again click on the “Submit filing” button on the bottom of the page. You will then be prompted to complete the oath by entering the capacity in which you are signing on behalf of the CPO. Once all errors are resolved and the filing is error-free, click on the “Submit filing” button at the bottom of the page. The Summary of Error and/or Warnings page will reappear and may include errors or warnings for the firm-level filing. After you have completed the firm-level filing and each pool-level filing, click on the “Submit filing” button located on the top banner.
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Once those are resolved or if that pool filing is free of errors, click on the “Complete Filing” button, which will appear at the bottom of the page.
You will be directed to the Summary of Errors and/or Warnings page. After you complete a pool-level filing, click “Review filing for errors” on the left-side navigation bar.
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