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SEC Reminds Registrants of N-PORT and N-CEN Filing Requirements

The SEC reminded registered investment companies of requirements concerning filing monthly portfolio investment reports ("N-PORT") and annual reports ("N-CEN").

The SEC reminded firms that:

  • N-PORT filers must attach the N-PORT-EX to the N-PORT-P submission with a period date post-August 31, 2019;

  • N-CEN filers must enter a percentage value instead of expressing the value as a decimal;

  • guidance regarding Series and Class Identifier requirements may be referenced in the Series and Class ID FAQs; and

  • firms may file annual reports electronically through the EDGAR system.

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