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Notice to Forms N-CEN and N-PORT Filers

Sept. 11, 2017

Date of Notice: September 11, 2017

Filers may immediately begin submitting test filings of reports on Forms N-CEN and N-PORT on EDGAR. 

On October 13, 2016, the SEC adopted new rules and forms, including Forms N-PORT and N-CEN, to enhance transparency and modernize reporting requirements for registered investment companies.[1] Form N-PORT is to be used by registered funds other than money market funds and small business investment companies to report series level portfolio data to the SEC on a monthly basis. Form N-CEN is to be used by registered funds to annually report certain census-type information to the SEC on both a registrant and also a series level. The earliest compliance date for both forms is June 1, 2018, although the compliance date for Form N-PORT for smaller entities is June 1, 2019.

Filers may construct XML submissions for reports on Forms N-CEN and N-PORT by following the draft technical specifications posted here: Form N-CEN filers also have the option of using an online form, which may be accessed by selecting the "File N-CEN" link on the EDGAR Filing Website.

We expect that filers will be able to submit test filings until December 31, 2017, and then again from March 1, 2018 until May 31, 2018. During these testing periods, filers should identify their submissions as "test" filings. "Live" filings are not permitted and the system will reject such filings until June 1, 2018. Test filings will not be evaluated for compliance with the forms or be available for public viewing.

Filers should not submit test filings from 3:00 to 5:30 pm Eastern Time each day.  In addition, Form N-PORT filers should be aware that EDGAR will not accept filings with greater than 1,000 holdings during the current testing period.  As with all test filings, personally identifiable information or information that filers may wish to keep confidential should not be submitted.  During the testing periods, testers are strongly encouraged to create and submit fictional data for test filings.  The SEC welcomes feedback from testers on the Form N-PORT and Form N-CEN filing process.  Those who encounter problems during the testing of those forms or who have questions regarding the draft technical specifications may email with the subject line "NPORT/NCEN Feedback." 


[1] Investment Company Reporting Modernization, Securities Act Release No. 10231 (Oct. 13, 2016) [81 FR 81870 (Nov. 18, 2016)].

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