Four Important Updates & Reminders for Filers
Oct. 31, 2019
N-PORT Updates—Instead of submitting a separate filing, N-PORT filers must attach the NPORT-EX directly to the NPORT-P submission after the period date of August 31, 2019. The document type for the attachment is NPORT-EX.
The period date is defined as the date of the report in Item A.3.b. of N-PORT—“Date as of which information is reported.” Any filing with a period date in Item A.3.b. of August 31, 2019 or earlier should continue to make a separate NPORT-EX filing, regardless of when the filing is submitted. NPORT-EX filings with a period date after August 31, 2019 will be suspended.
N-CEN Updates—Some N-CEN filers are responding to items requesting answers be expressed as a percentage (e.g., Items C.3.b.ii.1 and E.3.b.i) by entering the value as a decimal. Instead, we ask that you enter a percentage value. For example,100% should be entered as 100 (not 1.00).
Series and Class Identifier Reminder—The staff has noticed that some investment company filings have missing or incorrect Series and Class IDs in their submission headers. Additionally, some registrants have not updated the status of their IDs in EDGAR in a timely manner. An overview of the key requirements of the Series and Class ID rule can be found at the link below:
Filing Broker-Dealer Annual Reports—Paragraph (d) of Rule 17a-5—You can file broker-dealer annual reports electronically through the EDGAR system in lieu of filing them in paper form.Please see Electronic Filing of Broker-Dealer Annual Reports for more information.
Filers with procedural or technical questions can contact EDGAR’s electronic filer support at (202) 551-8900, option 3 (technicians are available live from 9:00 am-5:30 pm ET Monday-Friday) or email@example.com.Substantive questions regarding a broker-dealer’s filing requirements should be directed to the Division of Trading and Markets by calling (202) 551-5777 or by emailing firstname.lastname@example.org.Be sure to include your contact information to ensure that Division staff can follow-up.
If you file broker-dealer annual reports in paper form with the SEC’s principal office in Washington, D.C., in accordance with paragraph (d)(6) of Rule 17a-5, email or deliver these to the following address:
U.S. Securities and Exchange Commission
Division of Trading and Markets
Mail Stop 7010di
100 F Street, NE
Washington, DC 20549
Are you broker-dealer outside the Washington, D.C. area? File your paper annual reports at the SEC regional office for the region in which your principal place of business is located.