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Investment Company Series and Class Information

Available in CSV and XML formats; Updated 11/03/2014.

The Series and Class Report provides basic identification information for all active registered investment company series and classes have been issued IDs by the Commission. Beginning on February 6, 2006, all open-end mutual funds (Form N-1A filers), insurance separate accounts organized as mutual funds (Form N-3 filers), insurance separate accounts organized as unit investment trusts (Form N-4 and Form N-6 filers) investment companies (see adopting release http://www.sec.gov/rules/final/33-8590.pdf) have been required to use these IDs when making their electronic filings with the Commission. Since February 6, 2006, series and class IDs have also been issued to a few closed-end funds (Form N-2 filers) and unit investment trusts that are not used to fund separate accounts (S-6 filers).

The vast majority of entities in this report are open-end mutual funds (Form N-1A filers) and insurance separate accounts (Form N-3, N-4 and N-6 filers). This file does not contain a comprehensive listing of closed-end registrants (Form N-2 filers) or unit investment trusts (Form S-6 filers) that are not used to fund insurance separate accounts. A separate listing of these registrants is not currently available.

The Series and Class Report contains both Commission generated filing identifiers and EDGAR data created and maintained by each registrant. Since certain records have been created by and are required to be maintained by each registrant, we can not guarantee their accuracy.

The Series and Class Report includes entities that have received IDs but have not yet begun selling shares to the public. The report also includes series and classes that have ceased operation but have not yet been reclassified as inactive by the registrant, as well as investment companies that have ceased operation but have not yet terminated their registration with the Commission.

Hint: When seeking information about a single series or class, it may be useful to search the file for the fund's ticker symbol since fund names may not correspond perfectly to the way investment company names appear in newspapers and printed literature.

This file contains the following data fields:

Field Name Field Description
Reporting File Number This is a number with an 811- prefix assigned to filers registered under the Investment Company Act of 1940.
CIK The Central Index Key (CIK) is a ten digit number assigned by the SEC to each entity that submits filings.
Name of Investment Company This corresponds to the name of the legal entity registered under the Investment Company Act of 1940. (Entered by Filer)
Organization Type The Commission's two digit code used to identify the organizational structure of a registrant. The following codes are used: 30 (N-1a/open-end mutual fund filer), 31 (N-3 filer, insurance separate account organized as an open-end fund), 32 (N-4 filer, variable annuity separate account organized as a unit investment trust), 33 (N-6 filer, variable life separate account organized as a unit investment trust), 55 (N-2 filer/closed-end fund), 75 (S-6 filer, non-insurance unit investment trust).
Series ID A unique identifier assigned by the SEC to each series of an investment company. The format is an "S" followed by nine digits.
Series Name Name of investment company series. (Entered by Filer and may not correspond to the exact legal name of the series).
Class ID A unique identifier assigned by the SEC to each series of an investment company. The format is a "C" followed by nine digits.
Class Name Name of investment company series. A registered investment company may include one or more series, each of which invests its assets in a separate portfolio of securities. (Entered by Filer and may not correspond to the exact legal name of the class).
Class Ticker The stock market symbol (if any) for a class. An investment company series may include one or more share classes with differing sales charges and expenses. This is not a required field and will not be available for every registrant.
EDGAR Electronic Data Gathering, Analysis and Retrieval is the Commission's system for electronic filing.
Address_1 The first line of the registrant's business address.
Address_2 The second line of the registrant's business address.
City The city of the registrant's business address.
State The state of the registrant's business address.
Zip Code The zip code of the registrant's business address.