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Registrants with Greater than 99 Series [Form N-SAR]

Sept. 6, 2016

Registered investment companies, other than face amount certificate companies, are required to file Form N-SAR. Open- and closed-end companies must file Form N-SAR semi-annually. Unit investment trusts must file once a year for the period ending December 31.

Item 7C of Form N-SAR requires a listing of each series of a registrant.  However, the N-SAR application does not permit the inclusion of any series assigned with a unique identifier of 100 or greater in the body of Form N-SAR.  Registrants with greater than 99 series should file an addendum to include item 7C information with respect to any additional series.  This addendum may be filed as an exhibit to the Form N-SAR filing submission. 

The series that are unable to be listed separately in Item 7C should be taken into account when answering all registrant level questions (i.e. Item 20-23 brokerage questions).  These series can also continue to file Item 77 exhibits because they are typed up separately by the filer.  

 

Example of an Exhibit for Addendum to Item 7C on Form N-SAR


Listed are the names of each series of ABC Funds, Inc. in excess of the 99 consecutive series permitted by Form N-SAR.

Please refer to the most recent shareholders report for additional information concerning the Funds.

Series
Number
Series Name
Is this the last
filing for this series:
(Y/N)
100 ABC Big Fund N
101 ABC Medium Fund N
102 ABC Small Fund N
103 ABC Micro Fund Y
104 ABC Everything Fund N

 

 

 

 

 

 

 

 

 

EDGAR Resources for Form N-SAR


EDGAR Filer Manual (Volume III), N-SAR Supplement, is the guide for preparing the electronic submission of Form N-SAR.
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