REGULATORY FILINGS

Pursuant to the Investment Company Act of 1940 and the Securities Exchange Act of 1934, a mutual fund is required to prepare and file with the SEC a number of forms throughout the year. These filings include:

  • Forms 485a, 485b and 497: Registration statement

  • N-CSR: Semi-annual and annual reports

  • N-Q: Quarterly portfolio holdings

  • N-PX: Proxy voting records

  • N-SAR: Sales charges, 12b-1 fees, sales of shares, portfolio turnover rate, etc.

  • 14f-2: Securities sold

  • 17g-1: Bonding of officers and employees of a RIC

Full service fund administrators typically prepare and file these forms with the SEC.