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Announcement

Notice to N-CEN and N-PORT Filers

July 17, 2017

Date of Notice: July 17, 2017

The draft Form N-CEN and Form N-PORT technical specifications are now available on the SEC's website at https://www.sec.gov/oit/Article/info-edgar-tech-specs.html.

Filers should be aware of the following:

  • The draft technical specifications are provided as a service to our filing community to assist filers, agents, and software developers in their preparation for new Forms N-CEN and N-PORT, which were adopted by the Commission on October 13, 2016.[1] Any updates to the technical specifications will be posted to https://www.sec.gov/oit/Article/info-edgar-tech-specs.html.   
  • Filers may not make any Form N-CEN or Form N-PORT filings on EDGAR at this time. Filers will be able to submit test filings following EDGAR Release 17.3 later this year.[2]  During this testing period, filers should identify their filings as "test" filings.  The Commission does not intend to make test filings available for public viewing.

The SEC welcomes feedback from testers on the Form N-PORT and Form N-CEN filing process.  If you have questions about filing requirements related to Form N-CEN and Form N-PORT, please contact the Division of Investment Management's Investment Company Regulation Office at 202-551-6792.  Those who encounter problems during the testing of those forms or who have questions regarding the draft technical specifications may email StructuredData@sec.gov with the subject line "NPORT/NCEN Feedback." 

 

[1] See Investment Company Reporting Modernization Release No. 33-10231 (October 13, 2016) [81 FR 81870 (Nov. 18, 2016)].

[2] The planned deployment date for EDGAR Release 17.3 is September 2017. The compliance date for Form N-CEN is June 1, 2018.  The compliance date for Form N-PORT is June 1, 2018 for larger filers and June 1, 2019 for smaller filers.